Regulatory Alerts2018-10-30
Added · Updated
Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products
The Hong Kong Monetary Authority issued this circular to establish regulatory requirements for the online and offline distribution of non-SFO-regulated structured investment products. The document mandates that all authorized institutions adhere to specific standards when conducting distribution and advisory activities for these wealth management products. These controls aim to ensure proper risk management and client protection in the absence of Securities and Futures Ordinance regulation.
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