香港证监会发表有关非网上销售复杂产品的咨询总结
香港证券及期货事务监察委员会（SFC）今天就适用于复杂产品的非网上销售规定的进一步咨询，发表总结文件。
根据有关规定，额外保障措施将适用于在非网上环境下销售复杂产品的情况，例如 当销售是透过与客户进行面对面、电话或其他互动沟通的方式来完成。中介人需确保复杂产品的合适性，而客户需获提供产品资料和警告声明。有关规定与将要就在网上平台分销复杂产品而引入的保障措施相同。
香港证监会副行政总裁兼中介机构部执行董事梁凤仪女士表示：“我们划一规定中介人在销售复杂产品时须进行合适性评估，使网上及非网上的规定保持一致。此举确保公平的竞争环境，为客户提供更妥善的保障及避免监管漏洞。”
SFC concludes consultation on the offline sale of complex products
The Securities and Futures Commission (SFC) today released conclusions to its further consultation on requirements applicable to the offline sale of complex products.
Under these requirements, additional protective measures will apply to the sale of complex products in an offline environment, for example, when the sale is concluded with a client face-to-face, over the telephone or via other forms of interactive communication. The suitability of complex products will need to be ensured and clients will need to be provided with product information and warning statements. These are the same protective measures which will be introduced for the distribution of complex products on online platforms.
"We have aligned the requirements for intermediaries to conduct suitability assessments of clients in the sale of complex products so that they are the same both online and offline," said Ms Julia Leung, the SFC’s Deputy Chief Executive Officer and Executive Director of Intermediaries. "This levels the playing field, provides better protection for customers and prevents regulatory arbitrage."
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