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.
CIR
Current
Issue Date:
19 Sep 2017
20170919-2-EN.pdf (95.9 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Superseded Document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
Annex
Current
19 Sep 2017
Annex 1 - SFC Circular of 15 Sep 2017
CIR
Current
02 Aug 2017
Circular Issued by the Securities and Futures Commission (“SFC”) on Irregularities and Deficiencies in Managing Private Funds and Discretionary Accounts
Annex
Current
19 Sep 2017
Annex 1 - SFC Circular of 15 Sep 2017
CIR
Current
02 Aug 2017
Circular Issued by the Securities and Futures Commission (“SFC”) on Irregularities and Deficiencies in Managing Private Funds and Discretionary Accounts
Version History
Superseded Document
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