Page 73 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年4月）
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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
among other things –
(i) give due consideration to all the relevant circumstances specific to a client
when assessing the suitability of a product to the client; and
(ii) disclose all relevant transaction related information, and ensure that
information provided and any representations made are accurate and not misleading.
The observations from the concurrent thematic review on licensed corporations
are set out in Annex 1 and those on registered institutions in Annex 2. Intermediaries
are expected to review their policies and procedures to address any issues relevant to
their firms with a view to improving compliance, having regard to relevant annexes.
[1] See the Joint circular to intermediaries on Concurrent SFC-HKMA thematic
review of the distribution of non-exchange traded investment products issued on 1
March 2022.
[2] See the SFC-HKMA Joint Survey on the Sale of Non-exchange Traded
Investment Products 2022.
https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/suitability/doc?refNo=24EC
21
24. 香港金融管理局與香港證券及期貨事務(wù)監(jiān)察委員會(huì)就更新場(chǎng)外衍生工具監(jiān)
管制度下的金融服務(wù)提供者名單進(jìn)行年度咨詢（2024 年 4 月 19 日）
香港金融管理局（金管局）與香港證券及期貨事務(wù)監(jiān)察委員會(huì)（SFC）4 月
19 日發(fā)表聯(lián)合咨詢文件，咨詢場(chǎng)外衍生工具結(jié)算制度下的金融服務(wù)提供者名單
的年度更新的意見（注 1）。
59
