File Name: guidelines on online distribution and advisory platforms .zip
Chapter 1: Introduction. Chapter 2: Core Principles CP1.
- Digital Government
- All forms and applications
- Online distribution and advisory platforms – A new focus for sales suitability and IT regulations
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The Guidelines will clarify in particular how SFC-licensed and registered entities should comply in an online environment with the obligation to ensure the suitability of client recommendations and solicitations the Suitability Requirement under section 5. Specific protective measures will also apply to online sales of complex products. Platform Operators conducting electronic trading must also comply with paragraph 18 Electronic Trading and Schedule 7 to the Code of Conduct. The governance and controls Platform Operators are expected to put in place in the form of six core principles;. In offering investment products, Platform Operators need to comply with the following general provisions:. A PO should make clear and adequate disclosure of relevant material information on its online platform, such as providing up-to-date product offering documents, informing of the scope and limitations of services and disclosing commission, brokerage and any other fees and charges. A PO should ensure the reliability and security including data protection and cybersecurity of the online platform.
All forms and applications
Hogan Lovells Publications 5 June With the rapid development of technology, there is an increasing trend of intermediaries providing investment services and distributing investment products over the internet. Whilst the Securities and Futures Commission " SFC " has published regulations which govern the conduct of intermediaries registered or licensed with the SFC, these regulations were drafted to cater for offline situations. In light of the increasing reliance on online platforms for sale and distribution of investment products, and the additional risks involved with these new business models, the SFC proposes to introduce a set of guidelines applicable to all persons licensed or registered with the SFC in conducting regulated activities, including order execution, distribution and provision of advisory services. On 5 May , it launched a three-month consultation period on the proposed Guidelines on Online Distribution and Advisory Platform " Guidelines ".
Online distribution and advisory platforms – A new focus for sales suitability and IT regulations
In recent years, regulators have announced a number of initiatives to prepare SFC-licensed corporations and banks performing regulated activities in Hong Kong for investment selling through online platforms, and to encourage them to embrace opportunities brought about by technology, in particular, online wealth management. With the potential rise of online investment selling and the need to revisit regulations in this area, regulators have been issuing circulars and guidelines on the relevance of the sales suitability regime and IT regulations in the context of online selling. The Guidelines aim to provide tailored guidance to the industry on the design and operation of online platforms, and to clarify how the suitability requirements would operate in an online environment.
Коммандер зажмурился, сильнее сжал запястье и потянул. Труп сдвинулся на несколько сантиметров. Он потянул сильнее. Труп сдвинулся еще чуть-чуть. Тогда Стратмор напрягся и рванул тело изо всех сил.
Какие же, мистер Беккер? - спросил Фонтейн.
Для него все шифры выглядят одинаково, независимо от алгоритма, на основе которого созданы. - Не понимаю, - сказала. - Мы же говорим не о реверсии какой-либо сложной функции, а о грубой силе.
Ее глаза расширились. Стратмор кивнул: - Танкадо хотел от него избавиться. Он подумал, что это мы его убили. Он почувствовал, что умирает, и вполне логично предположил, что это наших рук .
- Быть может, придется ждать, пока Дэвид не найдет копию Танкадо. Стратмор посмотрел на нее неодобрительно. - Если Дэвид не добьется успеха, а ключ Танкадо попадет в чьи-то руки… Коммандеру не нужно было договаривать. Сьюзан и так его поняла. Пока файл Цифровой крепости не подменен модифицированной версией, копия ключа, находившаяся у Танкадо, продолжает представлять собой огромную опасность.
Она не помнила, чтобы это слово срывалось когда-нибудь с губ коммандера Стратмора. Чрезвычайная.