Regulatory Alerts2018-10-30
Added · Updated
Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products Annex 2
The Securities and Futures Commission issued this appendix to establish suitability requirements for the online and offline distribution of non-SFO-regulated structured investment products. It distinguishes between standardized non-leveraged structured deposits and complex products, applying different compliance obligations based on whether solicitation or recommendation is involved. The document outlines specific criteria regarding investment experience, principal protection, and concentration thresholds to determine if investors meet the necessary suitability standards.
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