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Contents

Date

Implementing CLERP 6 - Consultation Paper


Table of Contents

Abbreviations

Introduction

Overview

Chapter 01 : Uniform regulation of financial products
Chapter 02 : Licensing of financial service providers
Chapter 03 : Financial service provider conduct and disclosure
Chapter 04 : Financial product disclosure
Chapter 05 : Codes of conduct in the financial services industry
Chapter 06 : Licensing of financial product markets
Chapter 07 : Licensing of clearing and settlement facilities
Chapter 08 : Compensation arrangements
Chapter 09 : Transfer of securities
Chapter 10 : Misconduct and enforcement

Appendix A : Inclusions in the definition of financial product
Appendix B : Implications of including particular products in the financial product definition
Appendix C : Exclusions from the definition of financial product
Appendix D : Implementation issues for existing insurance multi-agents
Appendix E : Examples of the application of licensing provisions
Appendix F : Licensees holding funds on behalf of clients

Dictionary