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.
CIR
Current
Issue Date:
29 Sep 2020
20200929-1-EN.pdf (240.7 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Superseded Document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
Archive
29 Jul 2010
Circular Issued by the Securities and Futures Commission (SFC) Regarding Provision of Trade Documents to Clients by Access through Intermediaries' Websites
Directly related Document
Cross referenced Document
Version History
CIR
Archive
29 Jul 2010
Circular Issued by the Securities and Futures Commission (SFC) Regarding Provision of Trade Documents to Clients by Access through Intermediaries' Websites
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