Tag: licensed corporations
Showing 7 out of 7 results
SFC releases FAQs simplifying compliance with electronic data storage requirements – But is it really as simple as it looks?
Hong Kong SFC's new electronic data requirements place MICs and cloud services in the spotlight
On 31 October 2019, the Hong Kong Securities and Futures Commission (SFC) published a circular (Circular) on the use of electronic data storage …
Hong Kong SFC launches key risk indicator platform to enhance risk monitoring
Last Friday, the Securities and Futures Commission (SFC) issued a circular to announce the launch of a key risk indicator (KRI) platform to collect and …
SFC publishes AML/CFT inspection findings and urges intermediaries to ensure compliance
The Securities and Futures Commission (SFC) issued a circular on 31 August 2018 highlighting both deficiencies and good practices observed in relation to …
HONG KONG SFC PROVIDES UPDATE ON MIC REGIME AND ANNOUNCES THEMATIC REVIEW OF LICENSED CORPORATIONS' GOVERNANCE
In the latest issue of its SFC Compliance Bulletin: Intermediaries published on 16 May 2018, the Securities and Futures Commission (SFC) provides an …
HONG KONG SFC RELEASES THEMATIC REVIEW REPORT ON ALTERNATIVE LIQUIDITY POOLS
Earlier this week, the SFC released a circular and a report in relation to its thematic review to assess compliance with the regulatory requirements for …
SFC ISSUES GUIDANCE ON BEST EXECUTION FOLLOWING THEMATIC REVIEW
On 30 January 2018, the Securities and Futures Commission (SFC) issued a circular to set out its guidance on the standards expected of licensed …