Regulatory Alerts2018-08-24
Added · Updated
Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
The Securities and Futures Commission establishes suitability requirements for the online distribution and advisory of non-SFO-regulated structured investment products. The framework distinguishes between standardized deposits and complex products, mandating compliance with specific conduct codes when solicitation or recommendation occurs. Eligibility criteria include verifying sufficient investment experience, ensuring low concentration, and confirming principal protection status for eligible investors.
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