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.
CIR
Current
Issue Date:
21 Oct 2022
20221021-2-EN.pdf (150.9 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
21 Oct 2022
Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products
CIR
Current
18 Oct 2018
Investment horizon and suitability assessment
CIR
Current
21 Oct 2022
Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products
CIR
Current
18 Oct 2018
Investment horizon and suitability assessment
Version History
Superseded Document
You may also be interested in
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts Annex 1: Additional measures for opening and managing investment accounts of Chinese Mainland investors
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts Attachment: Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients