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

Annex 2: Regulatory Requirements on the Northbound Scheme

Topic:

Mainland Activities

Wealth Management & MPF - Securities/investment products

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

Group: Registered Institutions