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.
CIR
Current
Issue Date:
01 Sep 2022
20220901-1-EN.pdf (174.4 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Superseded Document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
01 Sep 2022
Enclosure 1 - SFC circular of 31 Aug 2022
Annex
Current
01 Sep 2022
Enclosure 2 - Report on the review of licensed corporations providing online brokerage, distribution and advisory services
Annex
Current
01 Sep 2022
Enclosure 1 - SFC circular of 31 Aug 2022
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Superseded Document
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