Regulatory Alerts2022-10-21
Added · Updated
Guidance on Enhanced Investor Protection Measures on Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products
The Hong Kong Securities and Futures Commission issued this circular to establish enhanced investor protection measures for the sale and distribution of debt instruments with loss-absorption features. Registered institutions are required to implement specific controls and guidelines to ensure appropriate client suitability assessments and risk disclosures. These measures aim to safeguard investors by addressing the unique risks associated with loss-absorption products within the wealth management sector.
CIR
Current
Issue Date:
21 Oct 2022
20221021-4-EN.pdf (181.7 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
21 Oct 2022
Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products
Annex
Current
21 Oct 2022
Annex 2 - Frequently Asked Questions on Sale and Distribution of Loss-absorption Products
CIR
Current
21 Oct 2022
Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products
Annex
Current
21 Oct 2022
Annex 2 - Frequently Asked Questions on Sale and Distribution of Loss-absorption Products
Cross referenced Document
Version History
Superseded Document
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