Regulatory Alerts2011-11-28
Added · Updated
Circular on Provision of Services to Clients for Conducting Transactions in Other Jurisdictions
The Securities and Futures Commission issued this circular to regulate licensed corporations providing services to clients for conducting transactions in other jurisdictions. The document outlines specific requirements and guidelines for registered institutions to ensure compliance when facilitating cross-border investment activities. It serves as a directive to maintain regulatory standards and protect client interests in international market transactions.
CIR
Current
Issue Date:
28 Nov 2011
20111128-1-EN.pdf (41.0 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Superseded Document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
28 Nov 2011
Annex - All Licensed Corporations Provision of services to clients for conducting transactions in other jurisdictions
Annex
Current
28 Nov 2011
Annex - All Licensed Corporations Provision of services to clients for conducting transactions in other jurisdictions
Cross referenced Document
Version History
Superseded Document
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