Regulatory Alerts2025-10-27
Added · Updated
Updated Guidance on Registration in Respect of Regulated Activities under the Securities and Futures Ordinance and Controls to Ensure Fitness and Properness of Staff
The Hong Kong Monetary Authority issues updated guidance to Authorized Institutions regarding registration requirements for regulated activities under the Securities and Futures Ordinance. The document outlines specific controls that institutions must implement to ensure the fitness and properness of their staff involved in these activities. This circular serves as a directive for all Authorized Institutions to adhere to these updated regulatory standards and operational controls.
CIR
Current
Issue Date:
27 Oct 2025
20251027-1-EN.pdf (127.2 KB)
Topic:
Banking Conduct & Enforcement - Others
Wealth Management & MPF - Others
Group:
All Authorized Institutions
You may also be interested in
CIR
Current
14 Apr 2025
Handling of Cash at Bank of Deceased Account Holders
CIR
Archive
25 Jul 2000
Amendments to SFC's Client Identity Rule and Policy
Annex 2: Amendments to Client Identity Rules
CIR
Archive
26 Jul 2002
Survey on Authorized Institutions' Plans for Registration under the Securities and Futures Ordinance