FSR and Corporate Crime Notes
Tag: non compliance
Showing 2 out of 2 results
21 September 2018
SFC issues further reminder regarding paragraph 12.5 self-reporting obligation
The SFC has issued a circular to remind intermediaries to comply with the self-reporting obligation under paragraph 12.5 of the Code of Conduct for …
14 November 2017
Hong Kong regulators warn of common instances of non-compliance in asset management
The Hong Kong Securities and Futures Commission (SFC) has recently conducted around 250 inspections of licensed corporations engaged in asset management …