Regulatory Alerts2023-08-25
Added · Updated
Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts Issued by the Securities and Futures Commission
The Securities and Futures Commission issued Risk Management Guidelines for licensed persons dealing in futures contracts to establish robust operational standards. These guidelines mandate that authorized institutions implement comprehensive risk management frameworks to effectively identify, monitor, and mitigate risks associated with futures trading activities. The regulatory framework aims to ensure market integrity and protect client interests by enforcing strict compliance with prudent risk management practices.
CIR
Current
Issue Date:
25 Aug 2023
20230825-4-EN.pdf (947.4 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
25 Aug 2023
Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts Issued by the Securities and Futures Commission
CIR
Current
25 Aug 2023
Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts Issued by the Securities and Futures Commission
Cross referenced Document
Version History
Superseded Document
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