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Hong Kong regulators find failures in product due diligence and sales processes

Pablo Conde, 24 November 2017

The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) have released a joint circular with a number of key observations and good practices in relation to potential conflicts of interest that may arise from the sale of in-house products, including but not limited to, structured products and investment funds.

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