Regulatory Alerts2026-05-22
Added · Updated
Expected controls for account opening and maintaining relationships with clients with investment accounts - Annex 2: Frequently asked questions
The Securities and Futures Commission issued this document to provide frequently asked questions regarding the expected controls for account opening and maintaining relationships with clients holding investment accounts. It serves as an annex to the main circular, offering clarifications on regulatory requirements for authorized institutions managing such client relationships. The guidance aims to ensure compliance with standards for wealth management and securities investment products.
CIR
Current
Issue Date:
22 May 2026
20260522-12-EN.pdf (780.8 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Superseded Document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
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts
Annex
Current
22 May 2026
Annex 1 - Additional measures for opening and managing investment accounts of Chinese Mainland investors
Annex
Current
22 May 2026
Attachment - Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts
Annex
Current
22 May 2026
Annex 1 - Additional measures for opening and managing investment accounts of Chinese Mainland investors
Annex
Current
22 May 2026
Attachment - Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients
Cross referenced Document
Version History
Superseded Document
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