Regulatory Alerts2016-02-15
Added · Updated
SFC Circular on Protecting Client Assets Against Internal Misconduct
The Securities and Futures Commission issued this circular to guide registered institutions in safeguarding client assets against risks arising from internal misconduct. The document outlines specific control measures and operational procedures that institutions must implement to prevent unauthorized activities and ensure the integrity of client holdings. It serves as a regulatory standard for maintaining robust internal controls within the wealth management and securities sectors.
CIR
Current
Issue Date:
15 Feb 2016
20160215-1-EN.pdf (163.1 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Superseded Document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
15 Feb 2016
Annex 1 - SFC Circular
Annex
Current
15 Feb 2016
Annex 2 - SFC Circular Appendix 1
Annex
Current
15 Feb 2016
Annex 3 - SFC Circular Appendix 2
Annex
Current
15 Feb 2016
Annex 1 - SFC Circular
Annex
Current
15 Feb 2016
Annex 2 - SFC Circular Appendix 1
Annex
Current
15 Feb 2016
Annex 3 - SFC Circular Appendix 2
Cross referenced Document
Version History
Superseded Document
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