guidelines on online distribution and advisory platforms pdf

Guidelines On Online Distribution And Advisory Platforms Pdf

By Eve S.
On Tuesday, April 20, 2021 9:32:16 PM

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Published: 21.04.2021

The Guidelines will clarify in particular how SFC-licensed and registered entities should comply in an online environment with the obligation to ensure the suitability of client recommendations and solicitations the Suitability Requirement under section 5. Specific protective measures will also apply to online sales of complex products.

Investors should not rely solely on the information contained on this webpage to make investment decisions. Investors should read carefully and understand the relevant fund's offering documents including the fund details and full text of the risk factors stated therein in particular those associated with investments in emerging markets for funds investing in emerging markets before making any investment decision. The SFC has not independently verified theeffectiveness of the investment strategies, investment selection processes, investmentportfolios and management or the criteria used to achieve the stated green or ESG investmentfocuses adopted by these products.

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June 6, Cathay lodged a data breach notification with the PCPD on October 24, and notified impacted individuals the next day. Cathay also breached DPP 2, under which data users should ensure that personal data, in this case Hong Kong Identity Card numbers, was not kept longer than was necessary to fulfil its identity verification purpose. In light of the data security breaches, the PCPD served an Enforcement Notice to direct Cathay to take remedial and preventive actions. June 17,

Jump to navigation. It also took the opportunity to further consult the public on the offline requirements applicable to complex products. The purpose of the above amendments is to align the regulatory requirement for both online and offline sale and to ensure a level playing field. The proposed amendments are also in line with the existing requirement that intermediaries should provide all relevant material information to clients and help them make informed decisions. It has made further submissions, which was endorsed by Council.

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Online distribution and advisory platforms – A new focus for sales suitability and IT regulations

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Hogan Lovells Publications 5 June With the rapid development of technology, there is an increasing trend of intermediaries providing investment services and distributing investment products over the internet. Whilst the Securities and Futures Commission " SFC " has published regulations which govern the conduct of intermediaries registered or licensed with the SFC, these regulations were drafted to cater for offline situations. In light of the increasing reliance on online platforms for sale and distribution of investment products, and the additional risks involved with these new business models, the SFC proposes to introduce a set of guidelines applicable to all persons licensed or registered with the SFC in conducting regulated activities, including order execution, distribution and provision of advisory services. On 5 May , it launched a three-month consultation period on the proposed Guidelines on Online Distribution and Advisory Platform " Guidelines ".

In recent years, regulators have announced a number of initiatives to prepare SFC-licensed corporations and banks performing regulated activities in Hong Kong for investment selling through online platforms, and to encourage them to embrace opportunities brought about by technology, in particular, online wealth management. With the potential rise of online investment selling and the need to revisit regulations in this area, regulators have been issuing circulars and guidelines on the relevance of the sales suitability regime and IT regulations in the context of online selling. The Guidelines aim to provide tailored guidance to the industry on the design and operation of online platforms, and to clarify how the suitability requirements would operate in an online environment. The flyer looks at who will be impacted by the Guidelines, how they will affect current offline investment selling practices, and how KPMG can help. All rights reserved. Please note that your account has not been verified - unverified account will be deleted 48 hours after initial registration. Click anywhere on the bar, to resend verification email.


Platform Operators when conducting their regulated activities in providing order execution, distribution and/or advisory services in respect of investment products via Online Platforms must comply with all applicable laws and regulations including the SFC's conduct requirements, restrictions on the offer of.


Digital Government

Chapter 1: Introduction. Chapter 2: Core Principles CP1. Proper design CP2. Information for clients CP3.

 Я сказал тебе - подними. Одуревшие от наркотиков панки за соседними столиками начали поворачивать головы в их сторону, привлеченные перепалкой. - Не советую тебе так себя вести, парень, - тихо сказал Беккер. - Я тебя предупредил! - кипятился панк.  - Это мой столик.

Сьюзан повернулась. Человек, попытавшийся ее удержать, выглядел растерянным и напуганным, такого лица у него она не видела. - Сьюзан, - умоляюще произнес Стратмор, не выпуская ее из рук.  - Я все объясню. Она попыталась высвободиться.

SFC Guidelines on Online Platforms and Advisory Services

Вернулся лейтенант с маленькой коробкой в руке, и Беккер начал складывать в нее вещи. Лейтенант дотронулся до ноги покойного. - Quien es.

Сьюзан посмотрела на корпус ТРАНСТЕКСТА, видневшийся справа. Шум генераторов, расположенных восемью этажами ниже, звучал сегодня в ее ушах необычайно зловеще. Сьюзан не любила бывать в шифровалке в неурочные часы, поскольку в таких случаях неизменно чувствовала себя запертой в клетке с гигантским зверем из научно-фантастического романа. Она ускорила шаги, чтобы побыстрее оказаться в кабинете шефа. К рабочему кабинету Стратмора, именуемому аквариумом из-за стеклянных стен, вела узкая лестница, поднимавшаяся по задней стене шифровалки.

 Как. - Не могу вспомнить… - Клушар явно терял последние силы.

Агент Колиандер нажал несколько кнопок, и кадры стали сменяться быстрее. Люди на подиуме с нетерпением ждали, когда на экране появится их бывший сослуживец Энсей Танкадо. Ускоренное проигрывание видеозаписи придавало изображению некоторую комичность. Вот Танкадо вышел на открытое место и залюбовался открывшимся перед ним зрелищем.

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Я должен добраться до ангара.

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