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.
CIR
Current
Issue Date:
24 Aug 2018
20180824-2-EN.pdf (48.9 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Superseded Document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
24 Aug 2018
Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
Annex
Current
24 Aug 2018
Appendix - Flowchart
CIR
Current
24 Aug 2018
Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
Annex
Current
24 Aug 2018
Appendix - Flowchart
Cross referenced Document
Version History
Superseded Document
You may also be interested in
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts Annex 1: Additional measures for opening and managing investment accounts of Chinese Mainland investors
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts Attachment: Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients