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.
CIR
Current
Issue Date:
24 May 2011
20110524-1-EN.pdf (41.4 KB)
Topic:
Banking Conduct & Enforcement - Consumer Protection
Wealth Management & MPF - Insurance products
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Superseded Document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
24 May 2011
Annex 1 - Mystery Shopping Programme Findings (HKMA)
Annex
Current
24 May 2011
Appendix - Report on Mystery Shopping Programme for the sale of unlisted securities and futures investment products in Hong Kong (Banking Sector)
Annex
Current
24 May 2011
Annex 2 - Mystery Shopping Programme Findings (SFC)
CIR
Current
18 Jun 2010
Circular Issued by the Securities and Futures Commission (SFC) Regarding Mystery Shopping Programme (MSP)
Annex
Current
24 May 2011
Annex 1 - Mystery Shopping Programme Findings (HKMA)
Annex
Current
24 May 2011
Appendix - Report on Mystery Shopping Programme for the sale of unlisted securities and futures investment products in Hong Kong (Banking Sector)
Annex
Current
24 May 2011
Annex 2 - Mystery Shopping Programme Findings (SFC)
CIR
Current
18 Jun 2010
Circular Issued by the Securities and Futures Commission (SFC) Regarding Mystery Shopping Programme (MSP)
Version History
Superseded Document
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