Regulatory Alerts2025-01-28
Added · Updated
Circular Issued by the Securities and Futures Commission on Deficiencies and Substandard Conduct Noted in the Management of Private Funds and Discretionary Accounts
The Securities and Futures Commission issued a circular highlighting deficiencies and substandard conduct observed in the management of private funds and discretionary accounts. The document serves as an enclosure to the main regulatory notice, detailing specific operational failures identified during supervisory activities. Registered institutions are expected to address these issues to ensure compliance with applicable standards and improve their internal controls.
CIR
Current
Issue Date:
28 Jan 2025
20250203-6-EN.pdf (416.9 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Superseded Document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
28 Jan 2025
Circular Issued by the Securities and Futures Commission on Deficiencies and Substandard Conduct Noted in the Management of Private Funds and Discretionary Accounts
Annex
Current
28 Jan 2025
Enclosure 1 - SFC's circular on Deficiencies and substandard conduct noted in the management of private funds and discretionary accounts
CIR
Current
28 Jan 2025
Circular Issued by the Securities and Futures Commission on Deficiencies and Substandard Conduct Noted in the Management of Private Funds and Discretionary Accounts
Annex
Current
28 Jan 2025
Enclosure 1 - SFC's circular on Deficiencies and substandard conduct noted in the management of private funds and discretionary accounts
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Superseded Document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