证监会

合适性规定

合适性规定载于《证券及期货事务监察委员会持牌人或注册人操守准则》第5.2段,当中规定持牌人或注册人经考虑其所察觉的或经适当查证后理应察觉的关于客户的资料后,持牌人或注册人在作出建议或招揽行为时,应确保其向该客户作出的建议或招揽行为,在所有情况下都是合理的。

合适性规定是投资者保障的基石,并且是持牌人及注册人的销售手法(包括分销投资产品和就投资产品提供意见)中不可或缺的一环。鉴于该规定的重要性,证监会已就其在合适性规定方面所要求的标准,以及在较广泛的层面上就销售手法的其他范畴(包括产品尽职审查及披露金钱收益)向业界提供指引。

为方便参考,公众可透过本网页查阅与合适性规定及销售手法的其他范畴有关的指引。如欲查阅相关通函,请按这里;如欲查阅相关常见问题,请按这里;如欲查阅其他刊物及资料来源,请按这里

不论持牌人或注册人透过何种途径分销投资产品或就投资产品提供意见,合适性规定一概适用,故此,证监会亦就如何在网上分销及投资谘询平台遵守合适性规定和其他适用于网上分销及投资谘询平台的操守及监管规定,向业界提供了适切的指引。如欲查阅《网上分销及投资谘询平台指引》,请按这里

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