Does your online distribution and advisory platform meet regulatory guidelines?

Jun 2018

The conclusions of the Securities and Futures Commission's consultation on the Proposed Guidelines on Online Distribution and Advisory Platforms were released on 28 March 2018. These guidelines will come into effect on 6 April 2019. The guidelines include:

  1. Tailored guidance on the design and operation of online platforms; and 
  2. Clarifications on how suitability requirements in the sale of investment products would be triggered in an online environment.

This publication outlines the common challenges faced by firms offering online sale of investment products and how PwC can assist your firm in meeting the regulatory requirements. 

Contact us

Emily Lam
Partner, PwC Hong Kong
Tel: +[852] 2289 1247
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Adams Chan
Partner, PwC Hong Kong
Tel: +[852] 2289 2784
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Helen Li
Partner, PwC Hong Kong
Tel: +[852] 2289 2741
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Carlyon Knight-Evans
Partner, PwC Hong Kong
Tel: +[852] 2289 2711
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Ho Kee Fu
Partner, PwC Hong Kong
Tel: +[852] 2289 2721
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