Risky And Complex? Recent Trends In Investor Suitability Regulation In Asia
Mondaq Business Briefing › Hong Kong Law Articles in English (2011)
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Risky And Complex? Recent Trends In Investor Suitability Regulation In Asia
Financial Services Quarterly Report - Asia
On the heels of one of the most volatile periods in recent market history, politicians and commentators have questioned whether some investment products are too risky or too complex for retail investors. In response, regulators in Hong Kong, Thailand and Singapore have proposed new "suitability" rules— requirements that sales intermediaries evaluate the knowledge and sophistication of their retail investors and attempt to classify investment products according to the risk or complexity of such products. Hong Kong – "Derivatives" Products and Retail Invest...See the full content of this document
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