La Securities and futures commission de Hong Kong a publié un rapport sur les pratiques de vente de sociétés agrées.
Dans ce document, la SFC a identifié les domaines dans lesquels les pratiques de vente des sociétés agréées pourraient être améliorées.
Le rapport est intitulé "Report on the Thematic Inspection of Selling Practices of Licensed Corporations".
In its thematic inspection report released today, the Securities and Futures Commission (SFC) has identified areas for improvement in the selling practices of licensed corporations.
The SFC has inspected firms covering a wide cross-section of those involved in selling investment products. These firms have established procedures to enhance selling practices. The SFC nevertheless identified deficiencies and shortcomings in the following areas:
management oversight, training and compliance monitoring;
suitability assessment process;
use of disclaimers and signing of declarations;
compliance with the new Code of Conduct requirements (Note 1); and
eligibility verification of “professional investors.”
These are detailed in the report, which also outlines practices and controls adopted by some firms. Intermediaries are encouraged to use this report to strengthen their management supervision and compliance programmes.
"Intermediaries involved in the sale of investment products play a vital role in helping investors make informed investment decisions, so it is critical that they maintain high standards of compliance with the selling practices requirements,” said Mr Ashley Alder, the SFC’s Chief Executive Officer. “Management should critically review their policies and procedures to address any issues that are relevant to their firms.”
The SFC will take action against any firms that have committed serious breaches of selling practices requirements. The SFC also will continue to use a range of supervisory tools, including inspections and mystery shopping programmes, to monitor compliance.
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