Regulatory Alerts2022-10-21
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Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products
The Hong Kong Monetary Authority issued these frequently asked questions to clarify regulatory expectations for Registered Institutions regarding investor protection measures. The guidance specifies that suitability assessments should not rigidly match investment horizons with product tenors, allowing for flexible approaches based on liquidity factors. Additionally, concentration risk evaluations must consider the overall effect on a client’s entire portfolio rather than focusing solely on individual account holdings.
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