Regulatory Alerts2011-04-28
Added · Updated
HKMA Circular on SFC Sponsor Theme Inspection Findings
The Hong Kong Monetary Authority issued this circular to direct Registered Institutions to review the Securities and Futures Commission's findings on sponsor theme inspections. Registered Institutions engaging in sponsor activities are required to study the report carefully and implement proper controls to ensure compliance with Listing Rules, Sponsor Guidelines, and the CFA Code. The HKMA will continue to monitor individual institutions' adherence to these regulatory standards within its supervisory process.
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