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Code of Conduct

Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission

Q1 : Should the authorization status (that is, whether or not the product or offering document has been authorized by the Commission) form part of the “relevant material information” which is required to be disclosed to the clients by the licensed or registered persons under the Code of Conduct?


Yes, this is because under the current legal and regulatory regime in Hong Kong, a financial product or an offering document of a financial product has to meet applicable requirements before it can be authorized by the Commission.

Section reference: General Principle 5

Last update: 12 Sep 2008

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