Derivative Product Notice

Last Update on :9 June 2017

Derivative Product Notice

According to the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 5.2, a licensed or registered person should ensure the suitability of the recommendation or solicitation for the client is reasonable, and should assure itself that the client understands the nature and risks of the products when providing derivatives services.

From 9 June 2017, clients who do not have derivative knowledge will not be allowed to trade derivatives. If you have any relevant knowledge, please fill in or update the "Derivative Knowledge Questionnaire" as soon as possible for on-going derivatives trading.

Moreover, clients who have traded derivatives 5 times in the company for the past three years have to submit the questionnaire before 1 September, 2017 to update your derivative knowledge status. For inquiries, please call CS Dept at (852) 2277 6555.

A derivative product is a contract that derives its value from the performance of an underlying entity, including equity options, rights issues, CBBCs, warrants, synthetic futures / ETFs , leveraged and reverse products, leveraged Forex , swap, etc.

For the risk of derivatives products, please visit:(2) Risks Relating to Derivatives Products

Update Derivative Knowledge

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