Regulatory Alerts2004-11-08
Added · Updated
SFC Guidelines for Addressing Analyst Conflicts of Interest
The Securities and Futures Commission issued guidelines to address analyst conflicts of interest, which form part of the Code of Conduct for licensed persons. These regulations require registered institutions to establish and maintain proper policies, procedures, and controls to ensure compliance. The guidelines apply to investment research on Hong Kong-traded securities and are scheduled to come into effect on 1 April 2005.
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