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.
CIR
Current
Issue Date:
15 Feb 2018
20180215-1-EN.pdf (87.8 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Superseded Document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
15 Feb 2018
Annex 1 - SFC circular of 14 Feb 2018
Annex
Current
15 Feb 2018
Annex 2 - Appendix of SFC circular of 14 Feb 2018
Annex
Current
15 Feb 2018
Annex 1 - SFC circular of 14 Feb 2018
Annex
Current
15 Feb 2018
Annex 2 - Appendix of SFC circular of 14 Feb 2018
Cross referenced Document
Version History
Superseded Document
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