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.
CIR
Current
Issue Date:
09 Feb 2018
20180209-3-EN.pdf (242.8 KB)
Topic:
Miscellaneous - SFC/IA/MPFA
Wealth Management & MPF - Securities/investment products
Group:
Registered Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
09 Feb 2018
Circular Issued by the Securities and Futures Commission (“SFC”) on Best Execution
Annex
Current
09 Feb 2018
Annex 1 - SFC circular of 30 Jan 2018
CIR
Current
09 Feb 2018
Circular Issued by the Securities and Futures Commission (“SFC”) on Best Execution
Annex
Current
09 Feb 2018
Annex 1 - SFC circular of 30 Jan 2018
Cross referenced Document
Version History
Superseded Document
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