Regulatory Alerts2015-01-06
Added · Updated
Selling of Investment Products
The Hong Kong Monetary Authority issued this circular to provide guidance on the sale of investment products to authorized institutions. It outlines expected controls and good practices for managing client relationships and opening investment accounts. The document emphasizes the importance of robust internal controls to ensure appropriate product suitability and risk management.
CIR
Current
Issue Date:
06 Jan 2015
20150106-1-EN.pdf (144.6 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Superseded Document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
12 Nov 2014
Renminbi (RMB) Business
CIR
Current
30 Jul 2014
Issues and good practices in relation to the sale of investment products
CIR
Current
16 Sep 2010
Selling of Renminbi Deposit, Investment and Insurance Products
Directly related Document
CIR
Current
12 Nov 2014
Renminbi (RMB) Business
CIR
Current
30 Jul 2014
Issues and good practices in relation to the sale of investment products
CIR
Current
16 Sep 2010
Selling of Renminbi Deposit, Investment and Insurance Products
Version History
Superseded Document
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