Circular to Intermediaries SFC and HKMA joint Product Survey 2023

The SFC and the HKMA will conduct a joint survey in 2023 to gather information about the selling activities of intermediaries. The survey will focus on the sale of non-exchange-traded investment products to investors who are not institutional professional investors. Intermediaries will be required to complete a questionnaire consisting of three parts, providing general information, details on the sale of investment products, and supplementary information. The completed questionnaires must be submitted by specific deadlines. The survey aims to enhance understanding of the industry, supervise selling practices, and address common concerns. Confidentiality will be maintained, and results from the previous year’s survey are available on the SFC website.

Resource: https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/intermediaries/supervision/doc?refNo=23EC61

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