SFC’s recently introduced “complex product” regulations have extended retail investor due diligence requirements to professional investors.
Tag: complex products
SFC extends ‘complex product’ regs deadline
The original deadline in April has not given much time for distributors and fund managers to implement changes.
Are you ready for the ‘complex product’ regs?
The difficulty lies in the distribution side collecting information on complex products from asset managers.
‘Complex product’ regs could limit HK distribution
Some distributors in Hong Kong may avoid ‘complex products’ because of the added risk of being non-compliant, according to Rolfe Hayden, a partner at law firm Simmons & Simmons.
