Regulatory Alerts2022-12-09
Added · Updated
Supervisory Policy Manual CG-3 Code of Conduct
The Hong Kong Monetary Authority issues this statutory guideline to establish minimum standards for Authorized Institutions regarding their Codes of Conduct and enforcement systems. The document mandates specific ethical requirements including conflict of interest declarations, restrictions on personal benefits, and prohibitions against bribery and insider trading. It further requires institutions to implement robust oversight mechanisms, internal controls, and reporting channels to ensure staff adherence to these professional standards.
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