CIR

Current

Findings of concurrent SFC-HKMA thematic review of spread charges and other practices

Annex 1: Key observations by the Securities and Futures Commission

Issue Date:

29 Oct 2021

20211029-3-EN.pdf (227.1 KB)

Topic:

Banking Conduct & Enforcement - Consumer Protection

Miscellaneous - SFC/IA/MPFA

Wealth Management & MPF - Securities/investment products

Group: Registered Institutions

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• Superseded Document

Directly related Document

• CIR

  Current

  29 Oct 2021

  Findings of concurrent SFC-HKMA thematic review of spread charges and other practices
• Annex

  Current

  29 Oct 2021

  Annex 2 - Key observations by the Hong Kong Monetary Authority

Directly related Document

• CIR

  Current

  29 Oct 2021

  Findings of concurrent SFC-HKMA thematic review of spread charges and other practices
• Annex

  Current

  29 Oct 2021

  Annex 2 - Key observations by the Hong Kong Monetary Authority

Cross referenced Document

Version History

Superseded Document

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