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 on issues and good practices regarding the sale of investment products to authorized institutions. The document outlines regulatory expectations for wealth management and securities investment products to ensure proper conduct and client protection. It serves as a reference for institutions to align their sales practices with established standards and mitigate risks associated with investment product distribution.
CIR
Current
Issue Date:
30 Jul 2014
20140730-1-EN.pdf (76.8 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Superseded Document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
Annex
Current
30 Jul 2014
Annex - Issues and good practices
Annex
Current
30 Jul 2014
Annex - Issues and good practices
Cross referenced Document
Version History
Superseded Document
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