Regulatory Alerts2009-07-14
Added · Updated
Abuse and Fraud Prevention in Private Banking and Wealth Management Annex: Management Control and Oversight
The Hong Kong Monetary Authority issued this circular to establish management control and oversight requirements for preventing abuse and fraud in private banking and wealth management. It mandates that authorized institutions implement robust internal controls and oversight mechanisms to mitigate risks associated with these services. The document serves as an annex to the broader framework for ensuring integrity and compliance within the sector.
CIR
Current
Issue Date:
14 Jul 2009
20090714-4-EN.pdf (624.4 KB)
Topic:
Wealth Management & MPF - Others
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
14 Jul 2009
Abuse and Fraud Prevention in Private Banking and Wealth Management
CIR
Current
14 Jul 2009
Abuse and Fraud Prevention in Private Banking and Wealth Management
Cross referenced Document
Version History
Superseded Document
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