SFC Guidelines：Codes and guidelines
Codes and guidelines
2023年10月4日—TheSFCissuescodesandguidelinestohelpindustryparticipantscomplywiththelaws.UndertheSecuritiesandFuturesOrdinance(SFO)(section169),。其他文章還包含有：「Guidelines」、「HongKongSFCproposesnewguidelinesformarket...」、「HongKong'sSFCConsultsonMarketSoundingGuidelines」、「HongKong'sSFCUpdatesGuidanceonTokenised...」、「Letterofguidance」、「relatedRiskManagementandDisclosure...
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Guidelines
https://www.sfc.hk
Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations and SFC-licensed Virtual Asset Service Providers), 1 Jun 2023 ...
Hong Kong SFC proposes new guidelines for market ...
https://www.herbertsmithfreehi
The new guidelines are aimed at clarifying regulatory expectations during market soundings and deterring substandard conduct which could impact the integrity ...
Hong Kong's SFC Consults on Market Sounding Guidelines
https://www.gibsondunn.com
The Proposed Guidelines set out for the first time the specific regulatory requirements and the SFC's regulatory expectations in respect of market soundings in ...
Hong Kong's SFC Updates Guidance on Tokenised ...
https://www.gibsondunn.com
On November 2, 2023, Hong Kong's Securities and Futures Commission (SFC) published two circulars providing guidance to intermediaries engaging in tokenised ...
Letter of guidance
https://www.sfc.ac.uk
Ministerial letters of guidance from the Scottish Government set out their priorities for colleges and universities in Scotland.
related Risk Management and Disclosure under the FMCC
https://www.pwchk.com
Step 5: Disclosure Requirements. If disclosure is required,6 Fund Managers should follow the guidelines given by the SFC on disclosure below. Table 5.
SFC Guidance on Quality 2022
https://www.sfc.ac.uk
The purpose of this guidance is to inform Scotland's colleges and universities on quality arrangements for Academic Year (AY) 2022-23 and AY ...
SFC's consultation conclusion on risk management ...
https://www2.deloitte.com
This set out regulatory expectations for futures brokers to have a comprehensive risk management framework to manage risks arising from proprietary trading and ...
The SFC's internal control guidelines in a nutshell
https://www.deacons.com
The SFC's internal control guidelines in a nutshell · Management and supervision · Segregation of duties and functions · Personnel and training ...