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 on the sale of investment products and the handling of client securities for all authorized institutions. Specific paragraphs within the document have been superseded by subsequent HKMA circulars regarding portfolio-based suitability assessments and the sale of accumulators. The guidance remains a key regulatory reference for wealth management and securities investment product sales practices.
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