Regulatory Alerts2018-02-09
Added · Updated
Circular Issued by the Securities and Futures Commission on Best Execution
The Securities and Futures Commission issued guidance on the standards of conduct and internal controls required for delivering best execution. This circular accompanies a thematic review report that outlines key observations and examples of good practices identified in licensed corporations. Registered institutions are required to review and enhance their policies, controls, and management supervision to align with these regulatory expectations.
More like this from HKMA
HKMA published 11 documents in the last 30 days. We email you each new one the day it's published.
Topics
Share