Regulatory Alerts2009-01-09
Added · Updated
HKMA Report on Lehman Structured Products Annex 2: Implementation Plan Requirements
The Hong Kong Monetary Authority issued this document as Annex 2 to its report on the distribution of structured products connected to Lehman Group companies. It mandates authorized institutions to formulate a concrete plan for implementing the regulator's recommendations regarding wealth management practices. This requirement ensures that financial institutions address identified issues and enhance their operational controls to protect investors.
CIR
Current
Issue Date:
09 Jan 2009
20090109-3-EN.pdf (131.3 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
09 Jan 2009
Report of the HKMA on Issues Concerning the Distribution of Structured Products Connected to Lehman Group Companies
Annex
Current
09 Jan 2009
Annex 1 - The HKMA's Recommendations
CIR
Current
09 Jan 2009
Report of the HKMA on Issues Concerning the Distribution of Structured Products Connected to Lehman Group Companies
Annex
Current
09 Jan 2009
Annex 1 - The HKMA's Recommendations
Cross referenced Document
Version History
Superseded Document
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