Regulatory Alerts2010-11-02
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Monitoring of Operational Capability
The Securities and Futures Commission issued this circular on November 2, 2010, to establish guidelines for monitoring the operational capability of registered institutions. The document outlines specific requirements and supervisory measures designed to ensure that financial intermediaries maintain adequate operational standards and risk management frameworks. It serves as a regulatory directive to enhance the resilience and compliance of the securities and investment industry in Hong Kong.
CIR
Current
Issue Date:
02 Nov 2010
20101102-1-EN.pdf (51.9 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Superseded Document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 Nov 2010
Annex - SFC Circular
Annex
Current
02 Nov 2010
Annex - SFC Circular
Cross referenced Document
Version History
Superseded Document
You may also be interested in
CIR
Archive
02 Mar 2018
Fund Management Activities Survey 2017 Conducted by the Securities and Futures Commission ("SFC")
Annex 2: Questionnaire B
CIR
Archive
22 Feb 2010
Fund Management Activities Survey 2009 Conducted by the Securities and Futures Commission (SFC)
Annex: Fund Management Activities Survey
CIR
Archive
16 Feb 2015
Fund Management Activities Survey 2014 Conducted by the Securities and Futures Commission (SFC)
Annex: Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2014