Regulatory Alerts2024-04-18
Added · Updated
Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products Annex 2
The Hong Kong Monetary Authority and the Securities and Futures Commission jointly issued findings from a thematic review concerning the distribution of non-exchange traded investment products. This document, designated as Annex 2, presents the key observations specifically identified by the HKMA regarding regulatory compliance and conduct standards. The review highlights critical areas where registered institutions must improve their practices to ensure adequate investor protection and adherence to regulatory expectations.
CIR
Current
Issue Date:
18 Apr 2024
20240418-3-EN.pdf (291.5 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
18 Apr 2024
Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
Annex
Current
18 Apr 2024
Annex 1 - Key observations by the Securities and Futures Commission
CIR
Current
18 Apr 2024
Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
Annex
Current
18 Apr 2024
Annex 1 - Key observations by the Securities and Futures Commission
Cross referenced Document
Version History
Superseded Document
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