Regulatory Alerts2009-02-26
Added · Updated
Circular Issued by the Securities and Futures Commission Regarding Self-Examination of Controls and Procedures on Suitability Obligations
The Securities and Futures Commission issued this circular to require registered institutions to conduct a self-examination of their controls and procedures regarding suitability obligations. The directive mandates that firms review their internal systems to ensure compliance with regulatory standards for assessing client suitability. This self-assessment process is designed to enhance the effectiveness of risk management and client protection measures within the financial sector.
CIR
Current
Issue Date:
26 Feb 2009
20090226-2-EN.pdf (190.6 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Superseded Document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
Current
26 Feb 2009
Circular Issued by the Securities and Futures Commission (SFC) Regarding Self-Examination of Controls and Procedures on Suitability Obligations
Annex
Current
26 Feb 2009
Annex 2 - List of RIs that the HKMA intends to invite participation in the 2009 CSA process
CIR
Current
26 Feb 2009
Circular Issued by the Securities and Futures Commission (SFC) Regarding Self-Examination of Controls and Procedures on Suitability Obligations
Annex
Current
26 Feb 2009
Annex 2 - List of RIs that the HKMA intends to invite participation in the 2009 CSA process
Cross referenced Document
Version History
Superseded Document
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