Regulatory Alerts2019-11-22
Added · Updated
Feedback from Recent Reviews on Selling of Investment Funds
The Hong Kong Monetary Authority issued this circular to provide feedback based on recent reviews of how Registered Institutions sell investment funds. The document highlights key observations and outlines good practices to mitigate misconduct risks in the distribution of investment products. It serves as a regulatory guide to ensure compliance and enhance the quality of sales practices within the wealth management sector.
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