Regulatory Alerts2016-02-15
Added · Updated
Circular Issued by the Securities and Futures Commission on Protecting Client Assets Against Internal Misconduct Annex 2
The Securities and Futures Commission issued this circular to establish requirements for registered institutions to protect client assets against internal misconduct. The document serves as Annex 2, which contains Appendix 1 to the main SFC circular on this subject. It mandates specific controls and procedures for regulated entities to mitigate risks associated with the misuse of client assets by internal staff.
CIR
Current
Issue Date:
15 Feb 2016
20160215-3-EN.pdf (84.8 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Superseded Document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
15 Feb 2016
Circular Issued by the Securities and Futures Commission (“SFC”) on Protecting Client Assets Against Internal Misconduct
Annex
Current
15 Feb 2016
Annex 1 - SFC Circular
Annex
Current
15 Feb 2016
Annex 3 - SFC Circular Appendix 2
CIR
Current
15 Feb 2016
Circular Issued by the Securities and Futures Commission (“SFC”) on Protecting Client Assets Against Internal Misconduct
Annex
Current
15 Feb 2016
Annex 1 - SFC Circular
Annex
Current
15 Feb 2016
Annex 3 - SFC Circular Appendix 2
Cross referenced Document
Version History
Superseded Document
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