CIR

Current

喬裝客戶檢查計劃結果

Issue Date:

24 May 2011

20110524-1-TC.pdf (75.1 KB)

Topic:

Banking Conduct & Enforcement - Consumer Protection

Wealth Management & MPF - Insurance products

Wealth Management & MPF - Securities/investment products

Group: All Authorized Institutions

• Directly related Document
• Cross referenced Document
• Version History
• Superseded Document

Directly related Document

• Annex

  Current

  24 May 2011

  附件1 - 喬裝客戶檢查計劃結果(金管局)
• Annex

  Current

  24 May 2011

  附錄 - 喬裝客戶檢查計劃報告 - 香港非上市證券及期貨投資產品銷售情況檢查 (銀行業)
• Annex

  Current

  24 May 2011

  附件2 - 喬裝客戶檢查計劃結果(證監會)

• CIR

  Current

  18 Jun 2010

  證券及期貨事務監察委員會（證監會）就喬裝客戶計劃發出通函

Directly related Document

• Annex

  Current

  24 May 2011

  附件1 - 喬裝客戶檢查計劃結果(金管局)
• Annex

  Current

  24 May 2011

  附錄 - 喬裝客戶檢查計劃報告 - 香港非上市證券及期貨投資產品銷售情況檢查 (銀行業)
• Annex

  Current

  24 May 2011

  附件2 - 喬裝客戶檢查計劃結果(證監會)

Cross referenced Document

• CIR

  Current

  18 Jun 2010

  證券及期貨事務監察委員會（證監會）就喬裝客戶計劃發出通函

Version History

Superseded Document

You may also be interested in

+

-

CIR
Current
17 May 2011
Circulars Issued by the Securities and Futures Commission (“SFC”) Regarding Preparation for the full implementation of the Code on Unit Trusts and Mutual Funds (“UT Code”) and the Code on Investment-Linked Assurance Schemes (“ILAS Code”)

Enclosure 2: SFC circular - Preparation for the full implementation of the Code on Investment-Linked Assurance Schemes ("ILAS Code") commencing 25 June 2011
CIR
Current
30 Sep 2020
Findings of Mystery Shopping Programme (“MSP”) on Selling Practices of Authorized Institutions (“AIs”) in respect of Investment and Insurance Products

Annex: Report on the Findings of the Mystery Shopping Programme on Selling Practices of Authorized Institutions in respect of Investment and Insurance Products
CIR
Current
24 Sep 2021
Distribution of Investment and Insurance Products through Non-face-to-face Channels

Annex: Guidance on non-F2F distribution of investment and insurance products