Sfc suitability assessment
WebIn the updated FAQs, the SFC clarifies how to conduct suitability assessment in a proportionate and risk-based manner, including concentration risk assessments. The SFC … Web12 Jun 2024 · SFC-authorized unlisted structured investment products (including SFC-authorized equity-linked deposits, equity-linked instruments/investments, etc.); Other non …
Sfc suitability assessment
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Web23 Dec 2016 · On 8 May 2007, the SFC issued a circular concerning suitability obligations which included a set of frequently asked questions designed to give guidance in relation … Web19 Mar 2024 · On 23 December 2024, the Securities and Futures Commission (the SFC) published a circular to intermediaries1 announcing updates to its frequently asked …
WebSuitability involves IAs matching the risk return profile of each recommended investment product with each client’s personal circumstances. Therefore, IAs should use their … Web6 Jan 2024 · Suitability Assessment Process for Different Clients The SFC has included question 5B to address how a licensed corporation (“LC”) should design their process for …
Web2 Aug 2024 · ESMA has confirmed that a suitability assessment (including sustainability preferences) should always be performed, regardless of the financial instrument. ESMA … Web24 Feb 2024 · The SFC has not completely rewritten the 2007 FAQs, but instead has revised the language here and there to make it clear that the suitability obligations apply not just …
Web17 Oct 2024 · The Suitability Requirement is set out in Paragraph 5.2 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (SFC). … Non-derivative 3 funds authorized by the SFC under the UT Code 4; SFC-authorized … About the SFC Regulatory functions Rules and standards Published resources … Intermediaries should refer to the following list of specified jurisdictions for … We publish circulars from time to time to remind industry participants of regulatory … Licensed corporations. The SFC has the power to revoke or suspend your licence … The SFC issues codes and guidelines to help industry participants comply with … As the gatekeeper of standards for individuals and corporations seeking to … For both corporate and individual applicants, if you wish to apply for a …
Web6 Jan 2024 · the Exchange must be satisfied as to the character, experience and integrity of all SPAC Promoters and that they are capable of meeting a standard of competence … northern tool dolly cartsWeb6 May 2011 · These requirements will tighten obligations on licensed and registered persons to assess the suitability of derivative products for clients and will expand disclosure … northern tool discount codeWebWe publish circulars from time to time to remind industry participants of regulatory requirements and help them understand regulatory issues. Circulars related to the … northern tool donation requestWeb26 Jun 2024 · The Securities and Futures Commission (SFC) issued a Circular on 13 June 2024 informing SFC-licensed and –registered intermediaries of new Frequently Asked … northern tool discount couponsWeb21 Sep 2024 · The Code of Conduct for Persons Licensed by or Registered with the SFC ( Code of Conduct) permits intermediaries to dis-apply certain investor safeguards in … how to run spell check in outlook emailWeb18 Mar 2016 · Amendments to the Hong Kong Professional Investor Regime Take Effect on 25 March 2016. Amendments to intermediaries’ obligations in relation to certain … how to run spigot minecraftWeb13 Oct 2014 · Suitability – the requirement to establish a client’s financial situation, investment experience and investment objectives, to ensure that recommendations or … how to run spell check on indesign