Regulatory Alerts2010-05-28
Added · Updated
Circulars Issued by the Securities and Futures Commission Regarding Compliance with New Regulatory Requirements
The Securities and Futures Commission issued circulars on 28 May 2010 to inform registered institutions of new regulatory requirements. These directives address compliance obligations related to wealth management, MPF, and securities investment products. The document serves as an official notice for regulated entities to adhere to the specified standards.
CIR
Current
Issue Date:
28 May 2010
20100528-1-EN.pdf (1.0 MB)
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Superseded Document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 May 2010
Annex - SFC circulars
Annex
Current
28 May 2010
Annex - SFC circulars
Cross referenced Document
Version History
Superseded Document
You may also be interested in
CIR
Archive
02 Mar 2018
Fund Management Activities Survey 2017 Conducted by the Securities and Futures Commission ("SFC")
Annex 2: Questionnaire B
CIR
Archive
22 Feb 2010
Fund Management Activities Survey 2009 Conducted by the Securities and Futures Commission (SFC)
Annex: Fund Management Activities Survey
CIR
Archive
16 Feb 2015
Fund Management Activities Survey 2014 Conducted by the Securities and Futures Commission (SFC)
Annex: Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2014