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 evaluates compliance with regulatory standards for the distribution of investment and insurance products. It highlights specific issues and good practices identified during the assessment of sales conduct.
CIR
Current
Issue Date:
08 Dec 2014
20141208-4-EN.pdf (111.1 KB)
Topic:
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Superseded Document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
08 Dec 2014
Annex - Mystery Shopping Programme Findings
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Current
30 Jul 2014
Issues and good practices in relation to the sale of investment products
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Current
08 Dec 2014
Annex - Mystery Shopping Programme Findings
CIR
Current
30 Jul 2014
Issues and good practices in relation to the sale of investment products
Version History
Superseded Document
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