Regulatory Alerts2020-12-23
Added · Updated
Frequently Asked Questions on Investor Protection Measures
The Hong Kong Monetary Authority issues these FAQs to clarify investor protection measures for Authorized Institutions selling investment, insurance, and mandatory provident fund products. The guidance specifies applicability to different customer segments, requirements for physical segregation and audio-recording, and rules for product disclosure and concentration risk assessment. It further mandates holistic assessments for vulnerable customers and outlines specific compliance expectations for non-retail banking and execution-only transactions.
More like this from HKMA
HKMA published 11 documents in the last 30 days. We email you each new one the day it's published.
Topics
Share