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.
CIR
Current
Issue Date:
22 Nov 2019
20191122-5-EN.pdf (227.3 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Superseded Document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 2 - Appendix 1 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 2 - Appendix 1 to the SFC circular
Cross referenced Document
Version History
Superseded Document
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