Amendments to Hong Kong’s Professional Investor Regime Take Effect on 25 March 2016

Julia CharltonPartner, Charltons

Amendments to the Hong Kong Professional Investor Regime Take Effect on 25 March 2016

Amendments to intermediaries’ obligations in relation to certain categories of professional investors under the Code of Conduct for Persons Licensed by or Registered with the SFC (the Code) take effect on 25 March 2016. The amendments were first proposed in the SFC’s May 2013 Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements, and were revised in the Consultation Conclusions published in September 2014. The amendments to the Code are set out at the end of this newsletter. Read more


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