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Hong Kong Law

January 2017

Best Boutique Firm 2016

Asian Legal Business Awards

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Charltons
Dominion Centre,12th Floor
43-59 Queen's Road East, Hong Kong

Tel: + (852) 2905 7888
Fax: + (852) 2854 9596
www.charltonslaw.com

 

Charltons - Hong Kong Law Newsletter - Issue 355 - 25 January 2017

Code of Conduct for Persons Licensed by or Registered with the SFC

SFC suitability obligations

SFC licensed or registered person

Suitability obligations of licensed corporations

SFC Frequently Asked Questions on Triggering Suitability Obligations

Paragraph 5.2 Code of Conduct

Know your client KYC

Hong Kong SFC Licensed corporation

SFC Frequently Asked Questions on Compliance with Suitability Obligations

Product due diligence Hong Kong

Suitability of investment product recommendations
Hong Kong Monetary Authority registered institutions suitability
Discretionary account management Hong Kong
HKMA authorized institution suitability client