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 from recent reviews on the selling of investment funds by Registered Institutions. The document highlights key observations and good practices identified during these regulatory examinations to enhance sales conduct. It serves as a guidance tool for institutions to address misconduct risks and improve compliance in the distribution of investment products.
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