CIR

Current

Feedback from Recent Reviews on Selling of Investment Funds

Issue Date:

22 Nov 2019

20191122-6-EN.pdf (330.8 KB)

Topic:

Wealth Management & MPF - Securities/investment products

Group: Registered Institutions

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• Superseded Document

Directly related Document

• Annex

  Current

  22 Nov 2019

  Annex - Key Observations and Good Practices Noted in Recent Reviews on Selling of Investment Funds by RI's

• CIR

  Current

  21 Dec 2018

  Misconduct Risks in Selling of Investment Funds
• CIR

  Current

  08 Apr 2016

  Feedback from recent reviews of the selling of investment products

Directly related Document

• Annex

  Current

  22 Nov 2019

  Annex - Key Observations and Good Practices Noted in Recent Reviews on Selling of Investment Funds by RI's

Cross referenced Document

• CIR

  Current

  21 Dec 2018

  Misconduct Risks in Selling of Investment Funds
• CIR

  Current

  08 Apr 2016

  Feedback from recent reviews of the selling of investment products

Version History

Superseded Document

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