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 being disguised as investments. It provides guidance to registered institutions on identifying and managing the risks associated with such arrangements. The document outlines regulatory expectations for compliance and risk management practices within the securities industry.
CIR
Current
Issue Date:
10 Aug 2018
20180810-2-EN.pdf (89.9 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Superseded Document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
10 Aug 2018
Annex - SFC circular of 3 Aug 2018
Annex
Current
10 Aug 2018
Annex - SFC circular of 3 Aug 2018
Cross referenced Document
Version History
Superseded Document
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