Regulatory Alerts2021-10-29
Added · Updated
Findings of concurrent SFC-HKMA thematic review of spread charges and other practices
The Securities and Futures Commission and the Hong Kong Monetary Authority jointly issued findings from a thematic review of spread charges and related practices in wealth management. The regulators identified key observations regarding the transparency, fairness, and disclosure of charges imposed on investors by financial institutions. These findings aim to enhance investor protection and ensure that regulated entities adhere to proper conduct standards in the sale and distribution of investment products.
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