SFC Internal Control Guidelines：SFC announces review of brokers' internal controls for ...
SFC announces review of brokers' internal controls for ...
2024年1月30日—Theinternalcontrolreviewwillfocusonthebrokers'internalcontrolsystemsthataredesignedtoprotectclientassetsaswellastheircompliance.。其他文章還包含有：「CircularIssuedbytheSecuritiesandFuturesCommission(...」、「FinancialResourceManagementandFRRCompliance」、「Guidelines」、「HongKong」、「HongKongSFCFinesFundManagersforInternalControl...」、「HongKongSFCPublishesCirculartoLicensed....
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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 ...
Guidelines
https://www.sfc.hk
Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission ... SFC Disciplinary ...
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 ...
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 ...