Regulatory Alerts2018-10-18
Added · Updated
Investment horizon and suitability assessment
The Hong Kong Monetary Authority issued this circular to establish requirements for authorized institutions regarding investment horizon and suitability assessments. The document has been superseded by the HKMA's circular dated 23 February 2024 on the Portfolio-based Approach to Suitability Assessment. This update replaces the previous guidelines originally issued on 18 October 2018 for wealth management and securities investment products.
CIR
Current
The last sentence of the third paragraph, and the fifth paragraph of the circular have been superseded by the HKMA's circular dated 23 February 2024 on "Portfolio-based Approach to Suitability Assessment".
Issue Date:
18 Oct 2018
20181018-2-EN.pdf (1.5 MB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Directly related Document
Cross referenced Document
Version History
Superseded Document
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