FOR FINANCIAL ADVISERS ONLY
FOR FINANCIAL ADVISERS ONLY
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Regulation

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Legal Entity Identifiers (LEI)

This article explains who needs a Legal Entity Identifier.
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Protecting your client’s money - peeling back the layers of policyholder protection

An explanation of the layers of protection safeguarding policyholders with assets invested through OMI and OMII
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Common reporting standards – time to get involved

This article details the requirements of the Client Notification Regulations and considers what advisers must do in order to comply with them.
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EU regulation on Packaged Retail Investment Products

The aim of this document is to provide a brief overview of the EU regulation on Packaged Retail Investment Products and key information documents for investment products.
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To disclose or not disclose?

Financial Adviser Verification

The content of this site is for advisers only. It is not for the use of Hong Kong advisers. You can change the regional content by selecting a region from the drop down box in the top right-hand corner.