Suitability obligations/investment product selling practices

Investor protection has always been a priority for regulators all over the world and the cornerstone for investor protection is how suitability obligations of financial institutions selling investment products are being discharged.

This document sets out the key regulatory focus areas of the Securities and Futures Commission and the Hong Kong Monetary Authority for licensed intermediaries in relation to the suitability requirements as well as other aspects of the selling practices for investment products.

Download the brochure below for more details.