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Legal Update

Marketing Investment Products in Hong Kong - the New Regime

9 June 2010
Mayer Brown JSM Legal Update

Following an extensive public consultation process, the Securities and Futures Commission has published its Consultation Conclusions on Proposals to Enhance Protection for the Investing Public and the final form of the SFC Handbook for Unit Trusts and Mutual Funds (which contains the "UT Code"), Investment-Linked Assurance Schemes (the "ILAS Code") and Unlisted Structured Investment Products (the "SIP Code").

The Hong Kong Monetary Authority has also issued a circular to authorised institutions on Implementation of Pre-investment Cooling-off Period for Retail Customers.

Financial institutions will need to take a number of steps to comply with the enhanced regulatory requirements. This is the most significant change to regulation of investment products in Hong Kong since the introduction of the Securities and Futures Ordinance in 2003.

Get the Full Updates:

1. Overarching Principles and SIP Code

2. UT Code and ILAS Code

For inquiries related to this Legal Update, please contact:

Sara Or ( )

Phill Smith ( )

Learn more about our Hong Kong office, Banking & Finance, Capital Market, Investment Funds and Financial Services Regulatory & Enforcement practices


  • Sara S. M. Or
    T +852 2843 2268
  • Phill Smith
    T +852 2843 2528

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