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 detailing observations and compliance issues identified during its review of online brokerage, distribution, and advisory services. Registered institutions are advised to reference the regulatory concerns and reminders regarding expected standards to ensure their online platforms are properly designed and operated. This guidance aims to help firms maintain compliance with applicable rules and regulations when onboarding clients and distributing or advising on investment products via digital channels.
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