FSR and Corporate Crime Notes
Tag: sfc circular
Showing 3 out of 3 results
19 November 2018
Hong Kong SFC commences thematic review of risk governance and oversight frameworks, including assessment of risk management MICs
Last Friday, the SFC announced (via a circular) that it had commenced a thematic review of selected licensed corporations (LCs) to assess their risk …
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 …
16 July 2018
SFC proposes to implement revisions to AML/CFT guidelines on 1 November 2018 ahead of FATF Hong Kong evaluation
On 5 July 2018, the Securities and Futures Commission (SFC) issued a consultation paper on proposals to amend the Guideline on Anti-Money Laundering and …