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 a circular warning registered institutions about dubious private fund and discretionary account arrangements or transactions. The regulator highlights specific risks and irregular practices associated with these financial products to protect investors. This guidance aims to ensure that licensed entities maintain high standards of conduct and due diligence when managing such accounts.
CIR
Current
Issue Date:
22 Nov 2019
20191122-4-EN.pdf (399.2 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Superseded Document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 1 - SFC circular of 21 Nov 2019
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 1 - SFC circular of 21 Nov 2019
Annex
Current
22 Nov 2019
Annex 3 - Appendix 2 to the SFC circular
Cross referenced Document
Version History
Superseded Document
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