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.
CIR
Current
Issue Date:
24 May 2011
20110524-3-EN.pdf (269.9 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Superseded Document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
CIR
Current
24 May 2011
Mystery Shopping Programme ("MSP") Findings
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24 May 2011
Annex 1 - Mystery Shopping Programme Findings (HKMA)
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24 May 2011
Appendix - Report on Mystery Shopping Programme for the sale of unlisted securities and futures investment products in Hong Kong (Banking Sector)
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24 May 2011
Mystery Shopping Programme ("MSP") Findings
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24 May 2011
Annex 1 - Mystery Shopping Programme Findings (HKMA)
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24 May 2011
Appendix - Report on Mystery Shopping Programme for the sale of unlisted securities and futures investment products in Hong Kong (Banking Sector)
Cross referenced Document
Version History
Superseded Document
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