Regulatory Alerts2014-12-08
Added · Updated
Mystery Shopping Programme Findings
The Hong Kong Monetary Authority issued this circular to present the findings of the Mystery Shopping Programme regarding the selling practices of Authorized Institutions. The document addresses compliance issues related to Wealth Management, MPF, insurance products, and securities or investment products. It serves as a regulatory reference for institutions to improve their sales conduct and adherence to expected standards.
CIR
Current
Issue Date:
08 Dec 2014
20141208-5-EN.pdf (227.2 KB)
Topic:
Wealth Management & MPF - Insurance products
Wealth Management & MPF - Securities/investment products
Keyword:
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
08 Dec 2014
Mystery Shopping Programme (MSP) Findings
CIR
Current
30 Jul 2014
Issues and good practices in relation to the sale of investment products
CIR
Current
22 Apr 2013
Selling of investment-linked assurance scheme (ILAS) products
CIR
Current
08 Dec 2014
Mystery Shopping Programme (MSP) Findings
CIR
Current
30 Jul 2014
Issues and good practices in relation to the sale of investment products
CIR
Current
22 Apr 2013
Selling of investment-linked assurance scheme (ILAS) products
Version History
Superseded Document
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