SB-1 對獲得證監會註冊的認可機構進行的受規管活動的監管

主题:

Miscellaneous - SFC/IA/MPFA

Wealth Management & MPF - Securities/investment products

关键字: Systems/controls EOs/ReIs Supervisory cooperation Policies/procedures Regulatory reporting/disclosures + Suitability assessment Senior management/72B managers Conflict of interest Disclosure/Transparency Retail wealth management Revocation/suspension Treat customers fairly Customer due diligence Product due diligence Board of Directors On-site examination Accumulators/Decumulators Cross border activities Non-SFO regulated investment products Private wealth management Operational continuity Off-site review Management information system -

组别: Registered Institutions