Regulatory Alerts2017-11-24
Added · Updated
Joint reviews by HKMA and SFC on managing conflicts of interest in financial groups
The Hong Kong Monetary Authority and the Securities and Futures Commission issued this document to outline joint reviews regarding the management of conflicts of interest within financial groups. The regulatory guidance addresses miscellaneous topics related to wealth management, MPF, and securities investment products for registered institutions. It serves as a cross-referenced directive to ensure compliance with standards for handling conflicts in complex financial structures.
CIR
Current
Issue Date:
24 Nov 2017
20171124-3-EN.pdf (239.3 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
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Superseded Document
Directly related Document
Directly related Document
Cross referenced Document
Version History
Superseded Document
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