Regulatory Alerts2013-02-05
Added · Updated
Circular Issued by the Securities and Futures Commission on Guarding against Risk of Client Asset Misappropriation
The Securities and Futures Commission issued this circular to guide registered institutions in safeguarding client assets against the risk of misappropriation. The document outlines specific operational and compliance measures that financial intermediaries must implement to ensure the security and proper handling of client funds and securities. It emphasizes the importance of robust internal controls and regular audits to prevent unauthorized use of client assets.
CIR
Current
Issue Date:
05 Feb 2013
20130205-1-EN.pdf (47.8 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Superseded Document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
05 Feb 2013
Annex - SFC Circular
Annex
Current
05 Feb 2013
Annex - SFC Circular
Cross referenced Document
Version History
Superseded Document
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