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.
CIR
Current
Issue Date:
30 Oct 2018
20181030-1-EN.pdf (96.8 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Superseded Document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
Annex
Current
30 Oct 2018
Annex 1 - Online and Offline Distribution and Advisory Activities for Non-SFO-regulated Structured Investment Products
Annex
Current
30 Oct 2018
Annex 2 - Appendix
CIR
Current
24 Aug 2018
Online Distribution and Advisory Platforms for 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
Annex
Current
30 Oct 2018
Annex 2 - Appendix
CIR
Current
24 Aug 2018
Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
Version History
Superseded Document
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