Regulatory Alerts2016-02-15
Added · Updated
SFC Circular on Protecting Client Assets Against Internal Misconduct
The Securities and Futures Commission issued this circular to establish requirements for registered institutions to safeguard client assets against internal misconduct. The document mandates specific internal controls and monitoring measures to prevent unauthorized use or misappropriation of client funds and securities. These regulations aim to enhance operational integrity and protect investor interests within the wealth management and securities sectors.
CIR
Current
Issue Date:
15 Feb 2016
20160215-4-EN.pdf (177.3 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Superseded Document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
15 Feb 2016
Circular Issued by the Securities and Futures Commission (“SFC”) on Protecting Client Assets Against Internal Misconduct
Annex
Current
15 Feb 2016
Annex 1 - SFC Circular
Annex
Current
15 Feb 2016
Annex 2 - SFC Circular Appendix 1
CIR
Current
15 Feb 2016
Circular Issued by the Securities and Futures Commission (“SFC”) on Protecting Client Assets Against Internal Misconduct
Annex
Current
15 Feb 2016
Annex 1 - SFC Circular
Annex
Current
15 Feb 2016
Annex 2 - SFC Circular Appendix 1
Cross referenced Document
Version History
Superseded Document
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