Regulatory Alerts2018-08-24
Added · Updated
Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
The Hong Kong Monetary Authority issued this circular to establish regulatory expectations for authorized institutions utilizing online distribution and advisory platforms for non-SFO-regulated structured investment products. The document outlines specific operational and compliance requirements to ensure appropriate risk management and investor protection in digital wealth management channels. It mandates that institutions implement robust controls to address the unique challenges associated with offering these complex investment products through online mediums.
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