Regulatory Alerts2014-06-24
Added · Updated
Enhanced Competency Framework for Private Wealth Management Practitioners
The Hong Kong Monetary Authority issued this circular to establish an enhanced competency framework for Private Wealth Management practitioners. The document mandates that registered institutions ensure their PWM staff meet specific competence and ethical behavior standards. This requirement aligns with the broader capacity building initiatives and the Competence and Ethical Behaviour circular CG-6.
CIR
Current
Issue Date:
24 Jun 2014
20140624-1-EN.pdf (88.1 KB)
Topic:
Capacity Building - Enhanced competency framework
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Archive
24 Jun 2014
Annex - Enhanced Competency Framework for Private Wealth Management Practitioners
SPM-NGL
Current
23 May 2024
CG-6 Competence and Ethical Behaviour
Annex
Archive
24 Jun 2014
Annex - Enhanced Competency Framework for Private Wealth Management Practitioners
SPM-NGL
Current
23 May 2024
CG-6 Competence and Ethical Behaviour
Version History
Superseded Document
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