Regulatory Alerts2018-08-24
Added · Updated
HKMA Guidance on Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
The Hong Kong Monetary Authority issues this annex to guide Authorized Institutions on operating online platforms for non-SFO-regulated structured investment products. It establishes a streamlined suitability requirement for standardized deposits while mandating full suitability assessments for complex products and requiring prominent risk warnings. The guidance also outlines specific exemptions for institutional and corporate professional investors regarding suitability and disclosure obligations.
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