Consultation Paper on Proposals to Enhance Protection for the Investing Public

Click here to download the consultation paper

Appendix documents
Consultation Paper on Proposals to Enhance Protection for the Investing Public (full paper)
Part I - Introduction
Part II - Products
Part III - Intermediaries conduct
Part IV - Post-sale arrangements - cooling-off period
Proposed SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Products (full handbook)
Proposed illustrative templates for Product Key Facts Statement (all templates)
Illustrative template for general funds
Illustrative template for guaranteed funds/ funds with structured pay-outs
Illustrative template for exchange-traded funds
Illustrative template for index funds
Illustrative template for investment-linked assurance schemes
Illustrative template for unlisted structured products
Proposed amendments to Code of Conduct and Professional Investors Rules
International practices comparison for Part III

The Securities and Futures Commission (the "SFC") invites market participants and interested parties to submit written comments on the Consultation Paper on Proposals to Enhance Protection for the Investing Public (available as Acrobat PDF file) before close of business on 31 December 2009. Any persons wishing to submit comments should, where applicable, provide details of any organizations the views of which they represent. In addition, persons suggesting alternative approaches are encouraged to submit proposed text of possible amendments that would be necessary to incorporate their suggestions.

Please note that the names of the commentators and the contents of their submissions may be published on the SFC web site and in other documents to be published by the SFC. In this connection, please read the Personal Information Collection Statement. If you wish to remain anonymous as a commentator, please so indicate when submitting your input.


The deadline for submitting your input is on or before 31 Dec 2009.  


Page last updated : 1 Aug 2012