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 and advisory activities of non-SFO-regulated structured investment products by authorized institutions. The document outlines specific operational standards and controls to ensure appropriate conduct and risk management across both digital platforms and traditional channels. It serves as a comprehensive guideline for wealth management practices involving these specific investment vehicles.
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