Regulatory Alerts2017-02-23
Added · Updated
Guidance on selling of investment products and handling of client securities
The Hong Kong Monetary Authority issued this circular to provide guidance to all authorized institutions on the selling of investment products and the handling of client securities. Specific paragraphs within the document have been superseded by subsequent HKMA circulars regarding portfolio-based suitability assessments and accumulator sales guidance. The document remains relevant for wealth management and MPF sectors concerning securities and investment products.
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