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.
CIR
Current
Issue Date:
27 Feb 2023
20230227-2-EN.pdf (184.2 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Superseded Document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
CIR
Current
27 Feb 2023
Observations from Review of Selling Processes of Investment Products
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Current
21 Oct 2022
Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products
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Frequently Asked Questions on Investor Protection Measures
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25 Sep 2019
Investor Protection Measures in respect of Investment, Insurance and Mandatory Provident Fund Products
Annex: Investor Protection Measures in respect of Investment, Insurance and Mandatory Provident Fund Products
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27 Feb 2023
Observations from Review of Selling Processes of Investment Products
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Frequently Asked Questions on Investor Protection Measures
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Investor Protection Measures in respect of Investment, Insurance and Mandatory Provident Fund Products
Annex: Investor Protection Measures in respect of Investment, Insurance and Mandatory Provident Fund Products
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Superseded Document
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