Regulatory Alerts2007-03-01
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Thematic Examinations on Investment Advisory Activities
The Hong Kong Monetary Authority issued this circular to report on the completion of on-site thematic examinations regarding investment advisory activities at selected Registered Institutions. The examinations, conducted concurrently with the Securities and Futures Commission, assessed compliance with regulatory standards concerning product due diligence, client information, selling practices, and complaint handling. While most institutions met baseline requirements, the Authority emphasized the ongoing importance of effective monitoring to ensure proper compliance with relevant regulatory obligations.
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