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.
CIR
Current
Issue Date:
10 Aug 2018
20180810-3-EN.pdf (49.8 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Superseded Document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
CIR
Current
10 Aug 2018
Circular Issued by the Securities and Futures Commission (“SFC”) on Margin Financing Activities Disguised as Investments
CIR
Current
10 Aug 2018
Circular Issued by the Securities and Futures Commission (“SFC”) on Margin Financing Activities Disguised as Investments
Cross referenced Document
Version History
Superseded Document
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