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 concerning spread charges and related practices in wealth management. The document outlines key observations and regulatory expectations aimed at enhancing consumer protection and ensuring fair treatment of investors in the sale of investment products. These findings serve to guide registered institutions in aligning their conduct with regulatory standards regarding fee structures and distribution practices.
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