Regulatory Alerts2026-05-22
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Expected controls for account opening and maintaining relationships with clients with investment accounts - Annex 2: Frequently asked questions
The Hong Kong Monetary Authority issues this FAQ to clarify regulatory expectations for Registered Institutions regarding the management of investment accounts for Chinese Mainland investors. The guidance details procedures for suspending or closing accounts opened with questionable documents, handling zero-balance dormant accounts, and implementing new declaration requirements for new account openings. It further specifies that these measures apply only to individual clients and outlines compliance protocols for internal reviews and cross-boundary investment channels.
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