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.
CIR
Current
Issue Date:
15 Feb 2018
20180215-2-EN.pdf (53.4 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Superseded Document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
15 Feb 2018
Circular Issued by the Securities and Futures Commission (“SFC”) on Client Facilitation
Annex
Current
15 Feb 2018
Annex 2 - Appendix of SFC circular of 14 Feb 2018
CIR
Current
15 Feb 2018
Circular Issued by the Securities and Futures Commission (“SFC”) on Client Facilitation
Annex
Current
15 Feb 2018
Annex 2 - Appendix of SFC circular of 14 Feb 2018
Cross referenced Document
Version History
Superseded Document
You may also be interested in
CIR
Archive
02 Mar 2018
Fund Management Activities Survey 2017 Conducted by the Securities and Futures Commission ("SFC")
Annex 2: Questionnaire B
CIR
Archive
22 Feb 2010
Fund Management Activities Survey 2009 Conducted by the Securities and Futures Commission (SFC)
Annex: Fund Management Activities Survey
CIR
Archive
16 Feb 2015
Fund Management Activities Survey 2014 Conducted by the Securities and Futures Commission (SFC)
Annex: Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2014