Regulatory Alerts2018-12-21
Added · Updated
Misconduct Risks in Selling of Investment Funds
The Hong Kong Securities and Futures Commission issued this circular to address misconduct risks identified during recent reviews of investment product sales. It provides guidance to registered institutions on expected controls and best practices for selling investment funds to clients. The document aims to enhance investor protection by clarifying regulatory expectations for wealth management and securities activities.
CIR
Current
Issue Date:
21 Dec 2018
20181221-2-EN.pdf (126.4 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
08 Apr 2016
Feedback from recent reviews of the selling of investment products
Directly related Document
CIR
Current
08 Apr 2016
Feedback from recent reviews of the selling of investment products
Version History
Superseded Document
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