Your Reliable Source to Comply with the Hong Kong SFC Suitability Requirement

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.

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

  • Advisory

Classification of around 3 million financial instruments into either non-complex or complex investment products – together with the rationale why instruments are classified as “complex”.

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) and Chapter 6 of the Guidelines on Online Distribution and Advisory Platforms by using the non-complex/complex classification of investment products in scope.

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