Regulatory Alerts2018-01-05
Added · Updated
Enhanced disclosure requirements on sale of structured products not regulated by the Securities and Futures Ordinance
The Securities and Futures Commission issued this circular to establish enhanced disclosure requirements for authorized institutions selling structured products that fall outside the regulatory scope of the Securities and Futures Ordinance. The document mandates specific information disclosure standards to ensure transparency and protect investors when dealing with these unregulated financial instruments. It serves as a regulatory update superseding previous guidance from December 2012 regarding the applicability of SFC requirements to such sales.
CIR
Current
Issue Date:
05 Jan 2018
20180105-1-EN.pdf (102.4 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
20 Dec 2012
Applicability of the Securities and Futures Commission (SFC)’s regulatory requirements to sale of structured products that are not regulated by the Securities and Futures Ordinance (SFO)
Directly related Document
CIR
Current
20 Dec 2012
Applicability of the Securities and Futures Commission (SFC)’s regulatory requirements to sale of structured products that are not regulated by the Securities and Futures Ordinance (SFO)
Version History
Superseded Document
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