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.
CIR
Current
Issue Date:
22 Nov 2019
20191122-7-EN.pdf (467.4 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Keyword:
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
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22 Nov 2019
Feedback from Recent Reviews on Selling of Investment Funds
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21 Dec 2018
Misconduct Risks in Selling of Investment Funds
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08 Apr 2016
Feedback from recent reviews of the selling of investment products
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22 Nov 2019
Feedback from Recent Reviews on Selling of Investment Funds
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Misconduct Risks in Selling of Investment Funds
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Feedback from recent reviews of the selling of investment products
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