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 serves as Enclosure 2 to the main circular and contains the detailed report on the conducted review. It outlines the findings and regulatory expectations for firms providing these specific digital financial services.
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