Regulatory Alerts2018-02-15
Added · Updated
Circular Issued by the Securities and Futures Commission on Client Facilitation
The Securities and Futures Commission issued this circular on 14 February 2018 to provide guidance on client facilitation practices for registered institutions. The document outlines specific regulatory expectations and operational standards that financial intermediaries must adhere to when facilitating client transactions. It serves as a formal directive to ensure compliance with the Securities and Futures Ordinance regarding the handling of client instructions and related activities.
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