Regulatory Alerts2015-08-07
Added · Updated
Engagement of Intermediaries and Sales Agents by Authorized Institutions
The Hong Kong Monetary Authority issued this circular to regulate the engagement of intermediaries and sales agents by authorized institutions. The document outlines the supervisory expectations and requirements for managing these relationships to ensure consumer protection. It establishes guidelines for due diligence, oversight, and accountability in the deployment of external business referral service providers.
CIR
Current
Issue Date:
07 Aug 2015
20150807-1-EN.pdf (54.0 KB)
Topic:
Banking Conduct & Enforcement - Consumer Protection
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
SPM-SGL
Current
06 Jan 2023
IC-4 Complaints Handling and Redress
CIR
Current
20 Aug 2014
Engagement of External Business Referral Service Providers
SPM-NGL
Current
28 Dec 2001
SA-2 Outsourcing
Directly related Document
SPM-SGL
Current
06 Jan 2023
IC-4 Complaints Handling and Redress
CIR
Current
20 Aug 2014
Engagement of External Business Referral Service Providers
SPM-NGL
Current
28 Dec 2001
SA-2 Outsourcing
Version History
Superseded Document
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