Document background
The Client Code of Conduct serves as a foundational document for organizations operating in Hong Kong's regulated business environment. It is primarily used when establishing and maintaining professional relationships with clients, ensuring compliance with Hong Kong's regulatory requirements, particularly those mandated by the SFC and HKMA. This document becomes necessary when organizations need to demonstrate their commitment to maintaining high professional standards, protecting client interests, and ensuring transparent business practices. The Code of Conduct typically includes detailed provisions on client classification, service delivery standards, data protection, conflict management, and complaint handling procedures. It is particularly relevant for financial institutions and professional service firms operating under Hong Kong's regulatory framework, where clear guidelines for client interactions are essential for maintaining regulatory compliance and building trust.
