Regulatory Alerts2026-05-22
Added · Updated
Expected controls for account opening and maintaining relationships with clients with investment accounts
The Securities and Futures Commission issued this circular to establish expected controls for authorized institutions regarding the opening and maintenance of client investment accounts. The document outlines specific operational requirements and risk management measures to ensure proper client relationship management and regulatory compliance. It also includes annexes detailing additional measures for Chinese Mainland investors and frequently asked questions to clarify implementation standards.
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