Regulatory Alerts2022-10-21
Added · Updated
Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products
The Securities and Futures Commission issued this circular to provide guidance on investor protection measures regarding the sale of investment products. It addresses key regulatory expectations for registered institutions to ensure suitability assessments and appropriate investment horizons are maintained. The document serves as a companion to the official Investor Protection Measures to clarify compliance requirements for wealth management and MPF sectors.
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