Regulatory Alerts2021-10-29
Added · Updated
Findings of concurrent SFC-HKMA thematic review of spread charges and other practices Annex 2: Key observations by the Hong Kong Monetary Authority
The Hong Kong Monetary Authority and the Securities and Futures Commission issued a joint thematic review addressing spread charges and related practices in the financial sector. The document presents key observations from the HKMA regarding the conduct of registered institutions in these areas. These findings aim to enhance consumer protection and ensure compliance with regulatory standards for wealth management and securities products.
CIR
Current
Issue Date:
29 Oct 2021
20211029-4-EN.pdf (281.8 KB)
Topic:
Banking Conduct & Enforcement - Consumer Protection
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
29 Oct 2021
Findings of concurrent SFC-HKMA thematic review of spread charges and other practices
Annex
Current
29 Oct 2021
Annex 1 - Key observations by the Securities and Futures Commission
CIR
Current
29 Oct 2021
Findings of concurrent SFC-HKMA thematic review of spread charges and other practices
Annex
Current
29 Oct 2021
Annex 1 - Key observations by the Securities and Futures Commission
Cross referenced Document
Version History
Superseded Document
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