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.
CIR
Current
Issue Date:
27 Feb 2023
20230227-1-EN.pdf (156.3 KB)
Topic:
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Superseded Document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
27 Feb 2023
Annex - Key observations from review of selling processes of investment products
Annex
Current
27 Feb 2023
Annex - Key observations from review of selling processes of investment products
Cross referenced Document
Version History
Superseded Document
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