Regulatory Alerts2024-05-23
Added · Updated
Supervisory Policy Manual Module CG-6: Competence and Ethical Behaviour
The Securities and Futures Commission issued an update to Supervisory Policy Manual Module CG-6 on Competence and Ethical Behaviour on 23 May 2024. This regulatory document establishes requirements for authorized institutions to ensure their personnel maintain professional competence and adhere to ethical standards. The update supersedes previous versions of the module to align with current supervisory expectations for regulated entities.
SPM-NGL
Current
Issue Date:
23 May 2024
20240523-2-EN.pdf (357.3 KB)
Topic:
Corporate Governance - Others
Keyword:
Group:
All Authorized Institutions
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Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
23 May 2024
Supervisory Policy Manual (SPM): Updated Module CG-6 on “Competence and Ethical Behaviour”
SPM-SGL
Current
12 Sep 2025
SB-1 Supervision of regulated activities of SFC-registered authorized institutions
SPM
Current
10 Apr 2025
GL Glossary
SPM
Current
17 Jan 2025
IN Introduction
SPM-SGL
Current
09 Dec 2022
CG-3 Code of Conduct
SPM-SGL
Current
24 May 2002
CG-2 Systems of control for the appointment of managers
SPM-NGL
Current
28 Dec 2001
SA-2 Outsourcing
SPM-NGL
Archive
08 Dec 2017
CG-6 Competence and Ethical Behaviour V2
SPM-NGL
Archive
11 Jul 2011
CG-6 Competence and Ethical Behaviour V1
CIR
Current
23 May 2024
Supervisory Policy Manual (SPM): Updated Module CG-6 on “Competence and Ethical Behaviour”
SPM-SGL
Current
12 Sep 2025
SB-1 Supervision of regulated activities of SFC-registered authorized institutions
SPM
Current
10 Apr 2025
GL Glossary
SPM
Current
17 Jan 2025
IN Introduction
SPM-SGL
Current
09 Dec 2022
CG-3 Code of Conduct
SPM-SGL
Current
24 May 2002
CG-2 Systems of control for the appointment of managers
SPM-NGL
Current
28 Dec 2001
SA-2 Outsourcing
SPM-NGL
Archive
08 Dec 2017
CG-6 Competence and Ethical Behaviour V2
SPM-NGL
Archive
11 Jul 2011
CG-6 Competence and Ethical Behaviour V1
Superseded Document