SFC Internal Control Guidelines：Guidelines
Guidelines
Management,SupervisionandInternalControlGuidelinesforPersonsLicensedbyorRegisteredwiththeSecuritiesandFuturesCommission...SFCDisciplinary ...。其他文章還包含有：「CircularIssuedbytheSecuritiesandFuturesCommission(...」、「FinancialResourceManagementandFRRCompliance」、「HongKong」、「HongKongSFCFinesFundManagersforInternalControl...」、「HongKongSFCPublishesCirculartoLicensed...」、「managemen...
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Circular Issued by the Securities and Futures Commission ( ...
https://www.hkma.gov.hk
The SFC wishes to remind licensed corporations (“LCs”) licensed for dealing in securities that they should have internal control procedures and ...
Financial Resource Management and FRR Compliance
https://www.pwchk.com
In this News Flash, we summarise the SFC's expectations in respect of the governance, management oversight, and other internal control standards of LCs for ...
Hong Kong
https://conventuslaw.com
Hong Kong – The SFC's Internal Control Guidelines In A Nutshell. · adequate and up-to-date written policies and procedures · Clearly defined ...
Hong Kong SFC Fines Fund Managers for Internal Control ...
https://www.debevoise.com
The SFC has pursued disciplinary proceedings against two fund managers for failures and breaches relating to fund management activities.
Hong Kong SFC Publishes Circular to Licensed ...
https://www.gibsondunn.com
The Internal Control Guidelines require LCs to keep proper records of all complainants and their complaints. The Circular extends this ...
management
https://www.sfc.hk
The Internal Control Guidelines relate to the manner in which licensed or registered persons structure, manage and operate the respective regulated activities ...
SFC announces review of brokers' internal controls for ...
https://www.deacons.com
The internal control review will focus on the brokers' internal control systems that are designed to protect client assets as well as their compliance.
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 ...