Regulatory Alerts2022-09-01
Added · Updated
Circular Issued by the Securities and Futures Commission to Licensed Corporations on Review of Online Brokerage, Distribution and Advisory Services
The Securities and Futures Commission issued this circular to licensed corporations regarding the review of their online brokerage, distribution, and advisory services. The document outlines regulatory expectations and findings derived from the SFC's assessment of how these firms manage and deliver digital investment services. It serves as a formal communication to ensure compliance with operational standards and risk management practices in the online trading sector.
CIR
Current
Issue Date:
01 Sep 2022
20220901-2-EN.pdf (196.7 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Superseded Document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
Current
01 Sep 2022
Circular Issued by the Securities and Futures Commission to Licensed Corporations on Review of Online Brokerage, Distribution and Advisory Services
Annex
Current
01 Sep 2022
Enclosure 2 - Report on the review of licensed corporations providing online brokerage, distribution and advisory services
CIR
Current
01 Sep 2022
Circular Issued by the Securities and Futures Commission to Licensed Corporations on Review of Online Brokerage, Distribution and Advisory Services
Annex
Current
01 Sep 2022
Enclosure 2 - Report on the review of licensed corporations providing online brokerage, distribution and advisory services
Cross referenced Document
Version History
Superseded Document
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