Regulatory Alerts2026-05-22
Added · Updated
Expected controls for account opening and maintaining relationships with clients with investment accounts
The Securities and Futures Commission issued this circular to establish expected controls for authorized institutions regarding the opening and maintenance of client investment accounts. The document mandates specific operational standards to ensure robust account management and relationship oversight. It includes annexes detailing additional measures for Chinese Mainland investors and providing answers to frequently asked questions.
CIR
Current
Issue Date:
22 May 2026
20260522-9-EN.pdf (190.4 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Superseded Document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
Annex
Current
22 May 2026
Annex 1 - Additional measures for opening and managing investment accounts of Chinese Mainland investors
Annex
Current
22 May 2026
Annex 2 - Frequently asked questions for the circular on expected controls for account opening and maintaining relationships with clients with investment accounts
Annex
Current
22 May 2026
Attachment - Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients
SPM-SGL
Current
12 Sep 2025
SB-1 Supervision of regulated activities of SFC-registered authorized institutions
Annex
Current
22 May 2026
Annex 1 - Additional measures for opening and managing investment accounts of Chinese Mainland investors
Annex
Current
22 May 2026
Annex 2 - Frequently asked questions for the circular on expected controls for account opening and maintaining relationships with clients with investment accounts
Annex
Current
22 May 2026
Attachment - Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients
SPM-SGL
Current
12 Sep 2025
SB-1 Supervision of regulated activities of SFC-registered authorized institutions
Version History
Superseded Document
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