Regulatory Alerts2011-05-24
Added · Updated
Mystery Shopping Programme Findings Annex 2 (SFC)
The Securities and Futures Commission issued this circular to present the findings of the Mystery Shopping Programme regarding the selling practices of Authorized Institutions. The document serves as Annex 2 to the main findings report, providing specific regulatory observations and compliance assessments for the securities and investment products sector. It highlights key areas where institutions must improve their conduct to ensure adequate consumer protection and adherence to regulatory standards.
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