Regulatory Alerts2010-09-02
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Code of Conduct Requirements with respect to Derivative Products
The Securities and Futures Commission issued this circular to outline code of conduct requirements for registered institutions dealing in derivative products. The document specifies regulatory standards and compliance obligations for financial institutions managing wealth management and investment products. It serves as a direct regulatory guideline for maintaining proper conduct in the handling of derivative instruments.
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