Regulatory Alerts2018-08-24
Added · Updated
Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
The Hong Kong Securities and Futures Commission 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 that these digital channels adequately manage risks and protect investor interests. It serves as a direct guideline for wealth management entities to align their platform operations with the regulator's standards for non-SFO-regulated securities.
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