Regulatory Alerts2019-11-22
Added · Updated
Circular Issued by the Securities and Futures Commission on Dubious Private Fund and Discretionary Account Arrangements or Transactions
The Securities and Futures Commission issued this circular to address concerns regarding dubious private fund and discretionary account arrangements or transactions. The document outlines specific regulatory expectations and compliance requirements for registered institutions to mitigate risks associated with these financial activities. It serves as a formal directive to enhance oversight and ensure adherence to proper conduct standards within the wealth management sector.
CIR
Current
Issue Date:
22 Nov 2019
20191122-3-EN.pdf (262.0 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Superseded Document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
22 Nov 2019
Circular Issued by the Securities and Futures Commission (“SFC”) on Dubious Private Fund and Discretionary Account Arrangements or Transactions
Annex
Current
22 Nov 2019
Annex 2 - Appendix 1 to the SFC circular
Annex
Current
22 Nov 2019
Annex 3 - Appendix 2 to the SFC circular
CIR
Current
22 Nov 2019
Circular Issued by the Securities and Futures Commission (“SFC”) on Dubious Private Fund and Discretionary Account Arrangements or Transactions
Annex
Current
22 Nov 2019
Annex 2 - Appendix 1 to the SFC circular
Annex
Current
22 Nov 2019
Annex 3 - Appendix 2 to the SFC circular
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Superseded Document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