Prescribes additional persons as accredited investors (e.g. partnership where each partner is an accredited investor) and institutional investors (e.g., designated market-maker and registered fund management company) for the purpose of the SFA.
Last Revised Date: 01 June 2022
Financial Advisers (Complaints Handling and Resolution) Regulations 2021
Sets out requirements for financial advisory firms to exercise management oversight and establish policies and procedures for handling and resolving complaints independently and promptly.