Regulatory Alerts2018-08-10
Added · Updated
Circular Issued by the Securities and Futures Commission on Margin Financing Activities Disguised as Investments
The Securities and Futures Commission issued this circular to address margin financing activities that are structured to appear as legitimate investments. The regulator highlights the risks associated with such arrangements and clarifies the regulatory expectations for registered institutions regarding compliance and risk management. This guidance aims to ensure that market participants do not exploit loopholes to conduct unauthorized margin financing under the guise of investment products.
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