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

Issue Date:

22 May 2026

20260522-9-TC.pdf (156.3 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• Superseded Document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

  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
• 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

  12 Sep 2025

  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

Directly related Document

• 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
• 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

  12 Sep 2025

  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

Version History

Superseded Document

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