Regulatory Alerts2020-12-23
Added · Updated
Frequently Asked Questions on Investor Protection Measures
The Hong Kong Monetary Authority issued this circular to provide updated guidance on investor protection measures following market developments and industry inquiries. The document clarifies requirements for providing investment services via non-face-to-face channels, assessing customer concentration risk, and streamlining product disclosures for sophisticated non-retail customers. It also highlights corresponding updates from the Securities and Futures Commission regarding suitability obligations and the sale of complex products.
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