Regulatory Alerts2017-12-28
Added · Updated
Enhanced Competency Framework on Retail Wealth Management
The Hong Kong Monetary Authority issued this circular to implement an enhanced competency framework for retail wealth management practitioners at all authorized institutions. The document mandates that institutions ensure their staff possess the necessary competence and ethical behavior to handle retail wealth management activities effectively. It references the accompanying guide which details the specific requirements for maintaining professional standards in this sector.
CIR
Current
Issue Date:
28 Dec 2017
20171228-1-EN.pdf (84.4 KB)
Topic:
Capacity Building - Enhanced competency framework
Wealth Management & MPF - Others
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Current
28 Dec 2017
Annex - Guide to Enhanced Competency Framework on Retail Wealth Management
SPM-NGL
Current
23 May 2024
CG-6 Competence and Ethical Behaviour
Annex
Current
28 Dec 2017
Annex - Guide to Enhanced Competency Framework on Retail Wealth Management
SPM-NGL
Current
23 May 2024
CG-6 Competence and Ethical Behaviour
Version History
Superseded Document
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