Annie Chan in Banking Today magazine

Regulations for Combating the “Mis-selling” of Investment Products

Annie Chan shared her expert insight with Banking Today, the in-house magazine of the Hong Kong Institue of Bankers  (HKIB), on the different regulatory measures taken by the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) to combat and control the risks of “mis-selling” within the financial industry in Hong Kong.


Content covered in this article

  • Code of conduct under the SFC
  • Selling practices requirements for intermediaries
  • Did the market players follow the regulatory requirements?
  • Helping investors make informed decisions
  • Closing the gap

For more information about the Hong Kong Institute of Bankers (HKIB), please click here .



  • Article prepared by Annie Chan for Banking Today
  • Article published in the March-April 2013 issue of Banking Today
  • Layout by Lexis Nexis