CIR

Current

Applicability of Enhanced Measures to Sales of Investment Products to Private Banking Customers

Issue Date:

20 Jan 2012

20120120-5-EN.pdf (171.3 KB)

Topic:

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• Superseded Document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

  20 Jan 2012

  Annex - Applicability of the measures set out in the HKMA’s circular “Implementation of recommendations in the HKMA’s Report on Issues Concerning the Distribution of Structured Products Connected to Lehman Brothers” dated 25 March 2009 to private banks

• CIR

  Current

  18 Apr 2011

  Important Facts Statement (IFS) for Currency-Linked Instruments and Interest Rate-Linked Instruments Issued by Authorized Institutions (AIs) (“ILCL instruments”)
• CIR

  Archive

  20 May 2010

  Implementation of Pre-Investment Cooling-off Period for Retail Customers
• CIR

  Archive

  25 Mar 2009

  Implementation of recommendations in the HKMA's Report on Issues Concerning the Distribution of Structured Products Connected to Lehman Brothers ("the HKMA's Report")

Directly related Document

• Annex

  Current

  20 Jan 2012

  Annex - Applicability of the measures set out in the HKMA’s circular “Implementation of recommendations in the HKMA’s Report on Issues Concerning the Distribution of Structured Products Connected to Lehman Brothers” dated 25 March 2009 to private banks

Cross referenced Document

• CIR

  Current

  18 Apr 2011

  Important Facts Statement (IFS) for Currency-Linked Instruments and Interest Rate-Linked Instruments Issued by Authorized Institutions (AIs) (“ILCL instruments”)
• CIR

  Archive

  20 May 2010

  Implementation of Pre-Investment Cooling-off Period for Retail Customers
• CIR

  Archive

  25 Mar 2009

  Implementation of recommendations in the HKMA's Report on Issues Concerning the Distribution of Structured Products Connected to Lehman Brothers ("the HKMA's Report")

Version History

Superseded Document

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