Regulatory Alerts2022-10-27
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Regtech Adoption Practice Guide Eighth Issue: Sales Practices and Suitability
This publication provides Authorized Institutions in Hong Kong with an overview of Regtech solutions for sales suitability, outlining common implementation challenges and sharing industry use cases. It details how digital tools can enhance customer risk profiling, automate product due diligence, enable robo-advisory, and improve management supervision to address drawbacks of manual processes. The guide offers an implementation framework and success factors for adopting these technologies to support regulatory compliance and investor protection.
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