CIR

Current

就投資帳戶的開立及與客戶維持關係時應採取的監控措施

附錄一: 在開立及管理內地投資者的投資帳戶時所須採取的額外措施

Issue Date:

22 May 2026

20260522-10-TC.pdf (178.5 KB)

Topic:

Wealth Management & MPF - Securities/investment products

Group: All Authorized Institutions

• Directly related Document
• Cross referenced Document
• Version History
• Superseded Document

Directly related Document

• CIR

  Current

  22 May 2026

  就投資帳戶的開立及與客戶維持關係時應採取的監控措施
• Annex

  Current

  22 May 2026

  附件 - 致持牌法團的通函 開立帳戶及與客戶維持關係時應採取的監控措施
• Annex

  Current

  22 May 2026

  附錄二 - 有關「就投資帳戶的開立及與客戶維持關係時應採取的監控措施」通告的常見問題

• SPM-SGL

  Current

  25 May 2023

  AML-2 打擊洗錢及恐怖分子資金籌集指引 (認可機構適用)
• CIR

  Current

  23 Feb 2017

  銷售投資產品及處理客戶證券的指引

Directly related Document

• CIR

  Current

  22 May 2026

  就投資帳戶的開立及與客戶維持關係時應採取的監控措施
• Annex

  Current

  22 May 2026

  附件 - 致持牌法團的通函 開立帳戶及與客戶維持關係時應採取的監控措施
• Annex

  Current

  22 May 2026

  附錄二 - 有關「就投資帳戶的開立及與客戶維持關係時應採取的監控措施」通告的常見問題

Cross referenced Document

• SPM-SGL

  Current

  25 May 2023

  AML-2 打擊洗錢及恐怖分子資金籌集指引 (認可機構適用)
• CIR

  Current

  23 Feb 2017

  銷售投資產品及處理客戶證券的指引

Version History

Superseded Document

You may also be interested in

+

-

CIR
Archive
08 Jul 2019
Frequently Asked Questions on Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products

Annex: Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products
Frequently Asked Questions (“FAQs”)
CIR
Current
08 Apr 2016
Feedback from recent reviews of the selling of investment products

Annex: Key Observations and Practices Noted in Recent Reviews
CIR
Current
22 Nov 2019
Feedback from Recent Reviews on Selling of Investment Funds

Annex: Key Observations and Good Practices Noted in Recent Reviews on Selling of Investment Funds by RI's