Regulatory Alerts2023-02-27
Added · Updated
Observations from Review of Selling Processes of Investment Products
The Hong Kong Monetary Authority issued this circular to present key observations derived from a review of the selling processes for investment products. The document targets all authorized institutions and highlights critical areas for improvement in their wealth management and securities sales practices. These findings aim to enhance investor protection measures and ensure compliance with regulatory standards in the sale of investment, insurance, and mandatory provident fund products.
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