CIR

Current

Expected controls for account opening and maintaining relationships with clients with investment accounts

Issue Date:

22 May 2026

20260522-9-EN.pdf (190.4 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• Superseded Document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

• Annex

  Current

  22 May 2026

  Annex 1 - Additional measures for opening and managing investment accounts of Chinese Mainland investors
• Annex

  Current

  22 May 2026

  Annex 2 - Frequently asked questions for the circular on expected controls for account opening and maintaining relationships with clients with investment accounts
• Annex

  Current

  22 May 2026

  Attachment - Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients

• SPM-SGL

  Current

  12 Sep 2025

  SB-1 Supervision of regulated activities of SFC-registered authorized institutions

Directly related Document

• Annex

  Current

  22 May 2026

  Annex 1 - Additional measures for opening and managing investment accounts of Chinese Mainland investors
• Annex

  Current

  22 May 2026

  Annex 2 - Frequently asked questions for the circular on expected controls for account opening and maintaining relationships with clients with investment accounts
• Annex

  Current

  22 May 2026

  Attachment - Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients

Cross referenced Document

• SPM-SGL

  Current

  12 Sep 2025

  SB-1 Supervision of regulated activities of SFC-registered authorized institutions

Version History

Superseded Document

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