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.
CIR
Current
Issue Date:
02 Sep 2010
20100902-1-EN.pdf (58.4 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Superseded Document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
02 Sep 2010
Annex - SFC Circular
Annex
Current
02 Sep 2010
Annex - SFC Circular
Cross referenced Document
Version History
Superseded Document
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