Regulatory Alerts2021-06-21
Added · Updated
Enhancements to Competency Framework for Intermediaries and Individual Practitioners
The Securities and Futures Commission issued this circular on 21 June 2021 to implement enhancements to the competency framework for intermediaries and individual practitioners. The document outlines updated requirements and standards intended to ensure that licensed entities and their personnel maintain appropriate professional competence. It serves as a regulatory update for all authorized institutions regarding compliance with these revised competency obligations.
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