Regulatory Alerts2018-10-30
Added · Updated
Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products Annex 2
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 applies to all authorized institutions and outlines specific compliance standards for wealth management and securities investment products. It serves as Annex 2 to the broader framework governing distribution and advisory activities for these financial instruments.
CIR
Current
Issue Date:
30 Oct 2018
20181030-3-EN.pdf (170.2 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
30 Oct 2018
Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products
Annex
Current
30 Oct 2018
Annex 1 - Online and Offline Distribution and Advisory Activities for Non-SFO-regulated Structured Investment Products
CIR
Current
30 Oct 2018
Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products
Annex
Current
30 Oct 2018
Annex 1 - Online and Offline Distribution and Advisory Activities for Non-SFO-regulated Structured Investment Products
Cross referenced Document
Version History
Superseded Document
You may also be interested in
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts Annex 1: Additional measures for opening and managing investment accounts of Chinese Mainland investors
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts
CIR
Current
22 May 2026
Expected controls for account opening and maintaining relationships with clients with investment accounts Attachment: Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients