Regulatory Alerts2018-02-09
Added · Updated
SFC Circular on Best Execution Annex 2 Report on Thematic Review of Best Execution
The Securities and Futures Commission issued this document as Annex 2 to its circular on best execution, presenting the findings of a thematic review. The report details the regulatory expectations for registered institutions regarding the implementation of best execution policies and procedures. It serves to inform market participants of compliance standards and areas requiring improvement in their execution arrangements.
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