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 this circular to highlight deficiencies and substandard conduct observed in the management of private funds and discretionary accounts. The document serves as a regulatory warning to registered institutions regarding compliance failures in wealth management and investment product administration. It underscores the need for improved operational standards and adherence to regulatory expectations in fund management activities.
CIR
Current
Issue Date:
28 Jan 2025
20250203-5-EN.pdf (312.5 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Superseded Document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 2 - Appendix to the SFC’s circular
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 2 - Appendix to the SFC’s circular
Cross referenced Document
Version History
Superseded Document
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