Regulatory Alerts2023-02-27
Added · Updated
Observations from Review of Selling Processes of Investment Products
The Hong Kong Monetary Authority issued this circular to communicate key observations derived from a review of the selling processes for investment products conducted at authorized institutions. The document outlines specific findings and expectations regarding how these institutions manage client relationships and distribute securities and investment products. It serves as a regulatory guidance to ensure that wealth management practices adhere to appropriate standards and controls.
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