Regulatory Alerts2011-05-24
Added · Updated
Mystery Shopping Programme Findings
The Hong Kong Monetary Authority and the Securities and Futures Commission issued this circular on 24 May 2011 to present the findings of their joint Mystery Shopping Programme. The report evaluates the selling practices of authorized institutions regarding the sale of unlisted securities and futures investment products in Hong Kong. It highlights compliance issues and serves as a reference for improving consumer protection in wealth management and insurance product distribution.
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