SFC Guidelines:Hong Kong SFC proposes new guidelines for market ...

Hong Kong SFC proposes new guidelines for market ...

Hong Kong SFC proposes new guidelines for market ...

2023年10月17日—Thenewguidelinesareaimedatclarifyingregulatoryexpectationsduringmarketsoundingsanddeterringsubstandardconductwhichcouldimpacttheintegrity ...。其他文章還包含有:「Codesandguidelines」、「Guidelines」、「HongKong'sSFCConsultsonMarketSoundingGuidelines」、「HongKong'sSFCUpdatesGuidanceonTokenised...」、「Letterofguidance」、「relatedRiskManagementandDisclosureundertheFMCC...

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sfc internal control guidelines中文internal control中文SFC Internal Control GuidelinesSFC Code of ConductInternal control GuidelinesSFC
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Codes and guidelines
Codes and guidelines

https://www.sfc.hk

The SFC issues codes and guidelines to help industry participants comply with the laws. Under the Securities and Futures Ordinance (SFO) (section 169),

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Guidelines
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 ...

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Hong Kong's SFC Consults on Market Sounding Guidelines
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 ...

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Hong Kong's SFC Updates Guidance on Tokenised ...
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 ...

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Letter of guidance
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.

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related Risk Management and Disclosure under the FMCC
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.

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SFC Guidance on Quality 2022
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 ...

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SFC's consultation conclusion on risk management ...
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 ...

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The SFC's internal control guidelines in a nutshell
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 ...