Regulatory Alerts2013-08-09
Added · Updated
Product Risk Rating of High-Yield Bonds and Related Products
The Hong Kong Securities and Futures Commission issued this circular on 9 August 2013 to establish guidelines for the risk rating of high-yield bonds and related investment products. Registered institutions are required to implement enhanced measures when selling these products to ensure appropriate risk assessment and investor protection. This directive complements existing regulations concerning the sale of investment products to private banking and corporate customers.
CIR
Current
Issue Date:
09 Aug 2013
20130809-1-EN.pdf (101.4 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Superseded Document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
20 Dec 2012
Applicability of Enhanced Measures to Sale of Investment Products to Corporate Customers
CIR
Archive
19 Nov 2012
Selling of Fixed Income Products
CIR
Current
20 Jan 2012
Applicability of Enhanced Measures to Sales of Investment Products to Private Banking Customers
Directly related Document
CIR
Current
20 Dec 2012
Applicability of Enhanced Measures to Sale of Investment Products to Corporate Customers
CIR
Archive
19 Nov 2012
Selling of Fixed Income Products
CIR
Current
20 Jan 2012
Applicability of Enhanced Measures to Sales of Investment Products to Private Banking Customers
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Superseded Document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