Regulatory Alerts2024-04-18
Added · Updated
Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
The Securities and Futures Commission and the Hong Kong Monetary Authority jointly issued findings from a thematic review concerning the distribution of non-exchange traded investment products. The document outlines key observations and regulatory expectations for registered institutions to ensure compliance with conduct standards and investor protection requirements. These findings aim to address identified deficiencies in the distribution practices of complex investment products within the Hong Kong market.
CIR
Current
Issue Date:
18 Apr 2024
20240418-2-EN.pdf (295.3 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Superseded Document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 2 - Key observations by the Hong Kong Monetary Authority
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 2 - Key observations by the Hong Kong Monetary Authority
Cross referenced Document
Version History
Superseded Document
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