Regulatory Alerts2020-09-29
Added · Updated
Circular Issued by the Securities and Futures Commission on Provision of Trade Documents to Clients by Access through Intermediaries’ Websites
The Securities and Futures Commission issued this circular to regulate how registered institutions provide trade documents to clients via their intermediary websites. The document outlines specific requirements and guidelines for the electronic delivery of trade confirmations and related records to ensure transparency and compliance. It serves as a directive for intermediaries to maintain proper standards when making these documents accessible through online platforms.
Topics
Share