Regulatory Alerts2020-08-07
Added · Updated
Reminder of Investor Protection Measures
The Securities and Futures Commission issued this circular to remind all authorized institutions of their investor protection obligations amidst Covid-19 challenges. The regulator emphasizes the critical need for wealth management and MPF providers to ensure the suitability of securities and investment products for their clients. Institutions are required to maintain timely and accurate dissemination of information to clients to uphold regulatory standards during the pandemic.
CIR
Current
Issue Date:
07 Aug 2020
20200807-1-EN.pdf (223.9 KB)
Topic:
Miscellaneous - Covid-19 challenges
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
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20 Apr 2020
Circular to issuers of SFC-authorized paper gold schemes
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27 Mar 2020
Circular Issued by the Securities and Futures Commission (“SFC”) on Reminder of important obligations to ensure suitability and timely dissemination of information to clients
Directly related Document
CIR
Current
20 Apr 2020
Circular to issuers of SFC-authorized paper gold schemes
CIR
Current
27 Mar 2020
Circular Issued by the Securities and Futures Commission (“SFC”) on Reminder of important obligations to ensure suitability and timely dissemination of information to clients
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Superseded Document
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