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Hong Kong regulators set review on investment products

Hong Kong regulators have set a joint review on non-exchange traded products, including equity-linked structured products and corporate bonds. The review will focus on selected intermediaries' policies, procedures, systems, and controls, as well as management oversight of the distribution of popular products as noted from the joint survey. The Securities and Futures Commission and the Hong Kong Monetary Authority aim to assess intermediaries' compliance with suitability requirements under the code of conduct, which is licensed by or registered with SFC, including their practices for performing product due diligence, conducting suitability assessments, and providing information to clients. The two regulators will share their findings and consider further guidance based on the review.


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