Regulatory Alerts2024-02-23
Added · Updated
Portfolio-based Approach to Suitability Assessment: Annex 2 - Frequently Asked Questions
The Hong Kong Securities and Futures Commission issued this circular to provide guidance on the portfolio-based approach to suitability assessment for registered institutions. Annex 2 specifically addresses frequently asked questions to clarify the implementation requirements and operational expectations for wealth management and MPF investment products. This document serves as a supplementary reference to ensure consistent application of suitability obligations by licensed corporations.
CIR
Current
Issue Date:
23 Feb 2024
20240223-3-EN.pdf (117.2 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
23 Feb 2024
Portfolio-based Approach to Suitability Assessment
Annex
Current
23 Feb 2024
Annex 1 - Guidance on Adoption of Portfolio-based Approach to Suitability Assessment
Annex
Current
23 Feb 2024
Annex 3 - Previous guidance superseded
CIR
Current
23 Feb 2024
Portfolio-based Approach to Suitability Assessment
Annex
Current
23 Feb 2024
Annex 1 - Guidance on Adoption of Portfolio-based Approach to Suitability Assessment
Annex
Current
23 Feb 2024
Annex 3 - Previous guidance superseded
Cross referenced Document
Version History
Superseded Document
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