CIR

Current

Streamlined approach for compliance with suitability obligations when dealing with sophisticated professional investors

Issue Date:

28 Jul 2023

20230728-3-EN.pdf (242.0 KB)

Topic:

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• Superseded Document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

• Annex

  Current

  28 Jul 2023

  Annex 1 - Detailed Guidance
• Annex

  Current

  28 Jul 2023

  Annex 2 - Frequently Asked Questions

Directly related Document

• Annex

  Current

  28 Jul 2023

  Annex 1 - Detailed Guidance
• Annex

  Current

  28 Jul 2023

  Annex 2 - Frequently Asked Questions

Cross referenced Document

Version History

Superseded Document

You may also be interested in

+

-

CIR
Archive
02 Mar 2018
Fund Management Activities Survey 2017 Conducted by the Securities and Futures Commission ("SFC")

Annex 2: Questionnaire B
CIR
Archive
22 Feb 2010
Fund Management Activities Survey 2009 Conducted by the Securities and Futures Commission (SFC)

Annex: Fund Management Activities Survey
CIR
Archive
16 Feb 2015
Fund Management Activities Survey 2014 Conducted by the Securities and Futures Commission (SFC)

Annex: Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2014