CIR

Current

Portfolio-based Approach to Suitability Assessment

Issue Date:

23 Feb 2024

20240223-1-EN.pdf (184.6 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• Superseded Document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

  23 Feb 2024

  Annex 1 - Guidance on Adoption of Portfolio-based Approach to Suitability Assessment
• Annex

  Current

  23 Feb 2024

  Annex 2 - Frequently Asked Questions on Portfolio-based Approach to Suitability Assessment (“PBA”)
• Annex

  Current

  23 Feb 2024

  Annex 3 - Previous guidance superseded

• CIR

  Current

  18 Oct 2018

  Investment horizon and suitability assessment
• CIR

  Current

  23 Feb 2017

  Guidance on selling of investment products and handling of client securities
• CIR

  Current

  28 Dec 2016

  Update of Requirement Following the Circulars Issued by the Securities and Futures Commission (“SFC”) in relation to Suitability Obligations
• CIR

  Current

  12 Jun 2012

  Selling of Investment Products to Private Banking Customers

Directly related Document

• Annex

  Current

  23 Feb 2024

  Annex 1 - Guidance on Adoption of Portfolio-based Approach to Suitability Assessment
• Annex

  Current

  23 Feb 2024

  Annex 2 - Frequently Asked Questions on Portfolio-based Approach to Suitability Assessment (“PBA”)
• Annex

  Current

  23 Feb 2024

  Annex 3 - Previous guidance superseded

Cross referenced Document

Version History

Superseded Document

• CIR

  Current

  18 Oct 2018

  Investment horizon and suitability assessment
• CIR

  Current

  23 Feb 2017

  Guidance on selling of investment products and handling of client securities
• CIR

  Current

  28 Dec 2016

  Update of Requirement Following the Circulars Issued by the Securities and Futures Commission (“SFC”) in relation to Suitability Obligations
• CIR

  Current

  12 Jun 2012

  Selling of Investment Products to Private Banking Customers

You may also be interested in

+

-

CIR
Archive
23 Oct 2008
Selling of investment products to retail customers

Annex: Circulars issued by the HKMA on the selling of investment products by AIs
CIR
Current
09 Sep 2026
Circular on Private Market Investments
CIR
Current
24 Nov 2017
Circular Issued by the Securities and Futures Commission (“SFC”) on Launch of Online Submission of Information under Section 110(1) of the Securities and Futures Ordinance (“SFO”)

Annex: SFC circular of 24 Nov 2017