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

Topic:

Miscellaneous - SFC/IA/MPFA

Supervisory Approach

Wealth Management & MPF - Securities/investment products

Keyword: 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 Product due diligence Customer due diligence Revocation/suspension Treat customers fairly Board of Directors Management information system Operational continuity On-site examination Off-site review Accumulators/Decumulators Cross border activities Non-SFO regulated investment products Private wealth management -

Group: Registered Institutions