Amendments to Implementation Arrangements for the Cross-boundary Wealth Management Connect Pilot Scheme in the Guangdong-Hong Kong-Macao Greater Bay Area

Annex 1: Regulatory Requirements on the Southbound Scheme

Topic:

Mainland Activities

Wealth Management & MPF - Securities/investment products

Keyword: Cross border activities Suitability assessment Customer due diligence Regulatory reporting/disclosures Disclosure/Transparency + Product due diligence Systems/controls Off-site review On-site examination Policies/procedures EOs/ReIs Board of Directors Data Protection -

Group: Registered Institutions