New SFC Guidance on Licensed Intermediaries’ Suitability Obligations
SFC Issues New Guidance on Licensed Intermediaries’ Suitability Obligations
Introduction
The Securities and Futures Commission of Hong Kong (the SFC) has issued new guidance to SFC-licensed and registered persons providing guidance on their obligations to ensure the suitability of client recommendations and solicitations under the Code of Conduct for Persons Licensed by or Registered with the SFC (the Code of Conduct). Read more…