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 document on October 21, 2022, to provide guidance on investor protection measures for the sale of investment products. It addresses frequently asked questions to clarify regulatory expectations for registered institutions regarding wealth management and securities. The circular serves as a reference for licensed corporations to ensure compliance with standards for client account opening and relationship management.
CIR
Current
Issue Date:
21 Oct 2022
20221021-1-EN.pdf (156.7 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Current
21 Oct 2022
Enclosure - Investor Protection Measures in respect of Sale of Investment Products Frequently Asked Questions
Annex
Current
21 Oct 2022
Enclosure - Investor Protection Measures in respect of Sale of Investment Products Frequently Asked Questions
Cross referenced Document
Version History
Superseded Document
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