Regulatory Alerts2023-08-25
Added · Updated
Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts
The Securities and Futures Commission issued Risk Management Guidelines providing further guidance on futures brokers' risk management, covering areas such as risk governance, market risk, and client credit risk. The Hong Kong Monetary Authority informed registered institutions that while these Guidelines do not apply directly to them due to existing prudential standards, those engaging in Type 2 regulated activities are expected to reference the requirements for managing associated risks. This communication serves to draw the attention of registered institutions to the SFC's consultation conclusion on the matter.
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