Regulation Best Interest enhances the broker-dealer standard of conduct beyond existing suitability obligations, and aligns the standard of conduct with retail customers’ reasonable expectations by requiring broker-dealers, among other things, to:
Act in the best interest of the retail customer at the time the recommendation is made, without placing the financial and/or other interest of the broker-dealer ahead of the interests of the retail customer; and
Address conflicts of interest by establishing, maintaining, and enforcing policies and procedures reasonably designed to identify and fully and fairly disclose material facts about conflicts of interest, and in instances where we have determined that disclosure is insufficient to reasonably address the conflict, to mitigate or, in certain instances, eliminate the conflict.
One of the ways that your Financial Professional fulfills their duty to disclose services and offerings of the firm as well as associated conflicts is to provide you with a Customer Relationship Summary, ‘Form CRS’, which allows you to make a fully informed decision regarding investment recommendations.
Our Customer Relationship Summary, ‘Form CRS’, along with our HSBC Brokerage Brochure, can assist in providing detail on our services offered, as well as provide you information on potential associated charges for HSBC Securities’ products and services.
It is our goal to make sure you are fully informed of the charges incurred for HSBC Securities services.
Current Customer Relationship Summary
Linked Documents & Pages
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|ARE NOT A DEPOSIT OR OTHER OBLIGATION OF THE BANK OR ANY OF ITS AFFILIATES
||ARE NOT FDIC INSURED
||ARE NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
||ARE NOT GUARANTEED BY THE BANK OR ANY OF ITS AFFILIATES
||MAY LOSE VALUE|
All decisions regarding the tax implications of your investment(s) should be made in consultation with your independent tax advisor.
Research backgrounds of brokers and firms for free by visiting FINRA's BrokerCheck website.
1 Financial professional refers to Financial Consultants (FCs), Investment Counselors (ICs), and High Net Worth Relationship Managers (HNWRMs). FCs, ICs, and HNWRMs focus on a full suite of High Net Worth, Jade, Premier and Advance products and services. All offer bank products through HSBC Bank (USA) N.A., investments and certain insurance products, including annuities, are offered through HSBC Securities (USA) Inc. and traditional insurance products are offered through HSBC Insurance Agency (USA) Inc.
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