Regulatory Alerts2014-07-30
Added · Updated
Issues and Good Practices in Relation to the Sale of Investment Products
The Hong Kong Monetary Authority issued this circular to provide guidance to all authorized institutions on the sale of investment products. The document outlines specific issues and establishes good practices to ensure appropriate conduct and risk management in wealth management and securities transactions. It serves as a regulatory reference for maintaining standards in client interactions and product distribution.
CIR
Current
Issue Date:
30 Jul 2014
20140730-2-EN.pdf (83.4 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Superseded Document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
30 Jul 2014
Issues and good practices in relation to the sale of investment products
SPM-SGL
Current
06 Oct 2017
IC-1 Risk Management Framework
CIR
Current
30 Jul 2014
Issues and good practices in relation to the sale of investment products
SPM-SGL
Current
06 Oct 2017
IC-1 Risk Management Framework
Version History
Superseded Document
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