Regulatory Alerts2018-02-09
Added · Updated
Circular Issued by the Securities and Futures Commission on Best Execution
The Securities and Futures Commission issued this circular to provide guidance on best execution obligations for registered institutions. The document references a previous circular from January 2018 and includes a report on a thematic review of best execution practices. It serves as a regulatory update for firms managing securities and investment products to ensure compliance with execution standards.
CIR
Current
Issue Date:
09 Feb 2018
20180209-1-EN.pdf (87.7 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
Annex
Current
09 Feb 2018
Annex 1 - SFC circular of 30 Jan 2018
Annex
Current
09 Feb 2018
Annex 2 - Report on the Thematic Review of Best Execution
Annex
Current
09 Feb 2018
Annex 1 - SFC circular of 30 Jan 2018
Annex
Current
09 Feb 2018
Annex 2 - Report on the Thematic Review of Best Execution
Cross referenced Document
Version History
Superseded Document
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