Regulatory Alerts2011-05-24
Added · Updated
Mystery Shopping Programme Findings
The Hong Kong Monetary Authority issued this circular to present the findings of the Mystery Shopping Programme conducted to assess compliance with regulatory standards. The document details observations regarding the sale of unlisted securities and futures investment products within the banking sector. It serves as a reference for Authorized Institutions to identify conduct gaps and enhance consumer protection practices.
CIR
Current
Issue Date:
24 May 2011
20110524-2-EN.pdf (240.2 KB)
Topic:
Banking Conduct & Enforcement - Consumer Protection
Wealth Management & MPF - Insurance products
Wealth Management & MPF - Securities/investment products
Keyword:
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
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24 May 2011
Mystery Shopping Programme ("MSP") Findings
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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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Annex 2 - Mystery Shopping Programme Findings (SFC)
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18 Apr 2011
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Enhanced Regulatory Requirements on Selling of Investment-Linked Assurance Scheme (ILAS) Products
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24 May 2011
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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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Annex 2 - Mystery Shopping Programme Findings (SFC)
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Important Facts Statement (IFS) for Currency-Linked Instruments and Interest Rate-Linked Instruments Issued by Authorized Institutions (AIs) (“ILCL instruments”)
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Enhanced Regulatory Requirements on Selling of Investment-Linked Assurance Scheme (ILAS) Products
Version History
Superseded Document
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