Events listed in Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
Observations from Review of Selling Processes of Investment Products (PDF File, ...
ID 22041
The Hong Kong Monetary Authority, HKMA, has issued a circular to share the findings from a recent review of the investment product selling processes of supervised institutions. The Authority thereby encourages firms to review the findings and reflect on own processes and procedures „in light of these observations, and design proper and reasonable measures and controls so that the selling processes can be streamlined ...