Regulatory Alerts2025-09-12
Added · Updated
SB-1 Supervision of Regulated Activities of SFC-Registered Authorized Institutions
The Securities and Futures Commission issued SB-1 to outline its supervisory approach for regulated activities conducted by SFC-registered authorized institutions. This document establishes the framework for overseeing wealth management and MPF-related securities and investment products. It details the regulatory expectations and compliance standards applied to these registered entities.
SPM-SGL
Current
Issue Date:
12 Sep 2025
SB-1.PDF (665.0 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Supervisory Approach
Wealth Management & MPF - Securities/investment products
Keyword:
Group:
Registered Institutions
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