Circular to intermediaries: SFC and HKMA joint product survey 2024

The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) will conduct the 2024 joint survey on the sale of non-exchange-traded investment products by licensed corporations (LCs) and registered institutions (RIs) engaged in dealing or advising on securities. The survey aims to assess industry practices, monitor market trends, and enhance regulatory oversight. It covers sales to non-institutional professional investors from 1 January to 31 December 2024. The questionnaire includes three sections: general information, sales activity details, and supplementary data for firms with higher transaction volumes. Submission deadlines range from 17 January to 7 March 2025, depending on the sections completed. All collected data will remain confidential and be used only in anonymized, aggregated form.

Resources: https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/intermediaries/supervision/doc?refNo=24EC62