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 serves as a regulatory warning to registered institutions about potential risks and irregularities in wealth management practices. It emphasizes the need for strict compliance with regulatory standards to protect investors and maintain market integrity.
CIR
Current
Issue Date:
22 Nov 2019
20191122-2-EN.pdf (89.2 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Superseded Document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
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
Annex
Current
22 Nov 2019
Annex 3 - Appendix 2 to the SFC circular
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
Annex
Current
22 Nov 2019
Annex 3 - Appendix 2 to the SFC circular
Cross referenced Document
Version History
Superseded Document
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