Regulatory Alerts2016-04-08
Added · Updated
Feedback from Recent Reviews of the Selling of Investment Products
The Hong Kong Monetary Authority issued this circular to provide feedback from recent reviews of the selling of investment products to all authorized institutions. The document highlights key observations and practices noted during these examinations to guide compliance with regulatory standards. It serves as a reference for institutions to improve their sales processes and ensure adherence to best practices in wealth management.
CIR
Current
Issue Date:
08 Apr 2016
20160408-3-EN.pdf (202.4 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Keyword:
Group:
All Authorized Institutions
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