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 addressing dubious private fund and discretionary account arrangements or transactions. The document serves as Annex 3, containing Appendix 2 to the main SFC circular released on November 21, 2019. This regulatory guidance targets registered institutions to highlight specific risks and compliance concerns within wealth management and investment products.
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