Regulatory Alerts2007-03-01
Added · Updated
Thematic Examinations on Investment Advisory Activities Annex 2: Good Practices Adopted by Certain Registered Institutions
The Hong Kong Monetary Authority issued this circular on March 1, 2007, to outline good practices for registered institutions regarding investment advisory activities. The document serves as Annex 2 to the thematic examinations on wealth management and securities products, highlighting specific operational standards. It aims to enhance regulatory compliance and protect client interests within the financial sector.
CIR
Current
Issue Date:
01 Mar 2007
20070301-3-EN.pdf (177.8 KB)
Topic:
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
01 Mar 2007
Thematic Examinations on Investment Advisory Activities
Annex
Current
01 Mar 2007
Annex 1 - Issues Identified
CIR
Current
01 Mar 2007
Thematic Examinations on Investment Advisory Activities
Annex
Current
01 Mar 2007
Annex 1 - Issues Identified
Cross referenced Document
Version History
Superseded Document
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