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 a circular to licensed corporations regarding the findings of its review of online brokerage, distribution, and advisory services. The document references a specific report detailing the outcomes of this regulatory examination conducted on firms providing these digital financial services. It serves as an official communication to inform regulated entities about the SFC's assessment of their online operational compliance and service standards.
Topics
Share