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.
CIR
Current
Issue Date:
22 Nov 2019
20191122-6-EN.pdf (330.8 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Current
22 Nov 2019
Annex - Key Observations and Good Practices Noted in Recent Reviews on Selling of Investment Funds by RI's
CIR
Current
21 Dec 2018
Misconduct Risks in Selling of Investment Funds
CIR
Current
08 Apr 2016
Feedback from recent reviews of the selling of investment products
Annex
Current
22 Nov 2019
Annex - Key Observations and Good Practices Noted in Recent Reviews on Selling of Investment Funds by RI's
CIR
Current
21 Dec 2018
Misconduct Risks in Selling of Investment Funds
CIR
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08 Apr 2016
Feedback from recent reviews of the selling of investment products
Version History
Superseded Document
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