Regulatory Alerts2017-09-19
Added · Updated
SFC Circular on Common Instances of Non-Compliance in Managing Funds and Discretionary Accounts
The Securities and Futures Commission issued this circular to highlight common instances of non-compliance observed in the management of funds and discretionary accounts. The document serves as a regulatory reminder for registered institutions to adhere to strict compliance standards and address identified irregularities. It references previous circulars on deficiencies in private fund management to provide context for the required corrective actions.
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