SFC suitability checks for complex products “a tricky area”

12 April 2018 | 4 minutes read

Private banks designing online suitability checks for complex products are in a “tricky” situation due to the ambiguity of the recently published Securities and Futures Commission (SFC) consultation conclusion on guidelines for online distribution and advisory platforms, a legal expert has warned. The conclusion, published by the Hong Kong regulator last month, includes a ‘non-exhaustive’ list of complex and non-complex products…

To access this content, please click back to the home screen, then click “Menu” (bars in top left bars) and then “Login”.
To enquire for a free trial, please start here.
Need more help? Click here or email [email protected].

Have a confidential tip? Get in touch [email protected]