HK Investor Protection

Regulatory Data Coverage for Traditional & Digital Investment Products

Financial Intermediaries in Hong Kong need to ensure that their recommendations or solicitations for theirs clients are suitable in all circumstances. This package provides complex and non-complex product classification for investor protection. To classify financial instruments as complex or non-complex, SIX uses a multi-level rule set matching the regulator's suitability requirements. In addition, a Crypto classification will help Wealth Advisors and banks who offer products with direct or indirect Crypto exposure to investors.

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  • Asset Servicing
  • Asset Management
  • Wealth Management / Private Banking

  • Advisory

  • Classification of around 3 million financial instruments into either non-complex or complex investment products.
  • Crypto classification for HK Virtual Asset and Virtual Asset-related instruments and information on the Hong Kong Securities and Futures Commission (SFC) Authorized Products.

Comply with the suitability requirements for investor protection as outlined in Paragraph 5.2 of the Code of Conduct for Persons Licensed by or registered with the Hong Kong Securities and Futures Commission (SFC), Chapter 6 of the Guidelines on Online Distribution and Advisory Platforms by using the non-complex/complex classification of investment products in scope as well as the Hong Kong Monetary Authority (HKMA) & SFC joint circular on intermediaries' virtual asset activities & services.

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