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 establish requirements for best execution practices. The document mandates that registered institutions implement policies and procedures to ensure client orders are executed under the best possible conditions. It also references an annex containing a report on the thematic review of best execution conducted by the regulator.
CIR
Current
Issue Date:
09 Feb 2018
20180209-2-EN.pdf (61.3 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Superseded Document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
CIR
Current
09 Feb 2018
Circular Issued by the Securities and Futures Commission (“SFC”) on Best Execution
Annex
Current
09 Feb 2018
Annex 2 - Report on the Thematic Review of Best Execution
CIR
Current
09 Feb 2018
Circular Issued by the Securities and Futures Commission (“SFC”) on Best Execution
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Superseded Document
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