Regulatory Alerts2015-05-13
Added · Updated
SFC Circular on Know Your Client and Account Opening Procedures
The Securities and Futures Commission issued this circular to outline requirements for Registered Institutions regarding Know Your Client and account opening procedures. The document addresses banking conduct, enforcement, and wealth management activities related to securities and investment products. It serves as a regulatory guideline for maintaining compliance with account opening and maintenance standards.
CIR
Current
Issue Date:
13 May 2015
20150513-1-EN.pdf (123.2 KB)
Topic:
Banking Conduct & Enforcement - Account Opening/Maintenance
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Superseded Document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
13 May 2015
Annex - SFC Circular
Annex
Current
13 May 2015
Annex - SFC Circular
Cross referenced Document
Version History
Superseded Document
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