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.
CIR
Current
Issue Date:
01 Sep 2022
20220901-3-EN.pdf (649.5 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Superseded Document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 1 - SFC circular of 31 Aug 2022
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 1 - SFC circular of 31 Aug 2022
Cross referenced Document
Version History
Superseded Document
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