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 15 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 handling client transactions and requests. It serves as a compliance reference to ensure that institutions maintain appropriate controls and transparency in their client service operations.
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