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 share supervisory findings and reiterate regulatory requirements for Authorized Institutions regarding the sale of investment products. The document highlights specific issues and good practices identified during recent examinations, urging institutions to review their policies and implement necessary enhancements. The HKMA will continue to monitor compliance and take supervisory action against institutions that fail to observe these standards.
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