Page 73 - 期货和衍生品行业监管动态（2024年4月）

期货和衍生品行业监管动态

among other things –

(i) give due consideration to all the relevant circumstances specific to a client

when assessing the suitability of a product to the client; and

(ii) disclose all relevant transaction related information, and ensure that

information provided and any representations made are accurate and not misleading.

The observations from the concurrent thematic review on licensed corporations

are set out in Annex 1 and those on registered institutions in Annex 2. Intermediaries

are expected to review their policies and procedures to address any issues relevant to

their firms with a view to improving compliance, having regard to relevant annexes.

[1] See the Joint circular to intermediaries on Concurrent SFC-HKMA thematic

review of the distribution of non-exchange traded investment products issued on 1

March 2022.

[2] See the SFC-HKMA Joint Survey on the Sale of Non-exchange Traded

Investment Products 2022.

https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/suitability/doc?refNo=24EC

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24. 香港金融管理局与香港证券及期货事务监察委员会就更新场外衍生工具监

管制度下的金融服务提供者名单进行年度咨询（2024 年 4 月 19 日）

香港金融管理局（金管局）与香港证券及期货事务监察委员会（SFC）4 月

19 日发表联合咨询文件，咨询场外衍生工具结算制度下的金融服务提供者名单

的年度更新的意见（注 1）。

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