SFC professional investor conclusions look to client agreement
The Hong Kong regulator released the conclusions of its consultation on the professional investor regime on September 25 and has given interested parties until December to respond to proposals on client agreement requirements
Hong Kong's Securities and Futures Commission (SFC) last week released the conclusions of its consultation on proposed amendments to the professional investor regime and announced a further consultation on client agreement requirements, stating that the client agreement will have to ensure any products sold are reasonably suitable for high-net-worth investors and giving contractual recourse for the code-of-conduct requirement.
The conclusions, which relate to a consultation paper published in
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