Regulatory Alerts2018-10-30
Added · Updated
Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products
The HKMA issues this annex to regulate the online and offline distribution of non-SFO-regulated structured investment products by Authorized Institutions. It establishes that while standardized deposits may be exempt from suitability requirements under specific conditions, complex products and non-standardized deposits require strict suitability assessments and comprehensive risk disclosures. The document also outlines exemptions for professional investors while mandating adequate material information disclosure across all channels.
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