Regulatory Alerts2017-09-19
Added · Updated
Circular Issued by the Securities and Futures Commission on Common Instances of Non-Compliance in Managing Funds and Discretionary Accounts
The Securities and Futures Commission issued this circular to highlight common instances of non-compliance observed in the management of funds and discretionary accounts. The document serves as a regulatory warning to registered institutions regarding specific operational failures and control deficiencies in their wealth management activities. It aims to reinforce compliance standards by detailing typical breaches to help firms identify and rectify potential risks in their investment management processes.
CIR
Current
Issue Date:
19 Sep 2017
20170919-3-EN.pdf (241.8 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Superseded Document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
CIR
Current
19 Sep 2017
Circular Issued by the Securities and Futures Commission (“SFC”) on Common Instances of Non-Compliance in Managing Funds and Discretionary Accounts
CIR
Current
19 Sep 2017
Circular Issued by the Securities and Futures Commission (“SFC”) on Common Instances of Non-Compliance in Managing Funds and Discretionary Accounts
Cross referenced Document
Version History
Superseded Document
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