CIR

Current

Circular Issued by the Securities and Futures Commission (SFC) Regarding Self-Examination of Controls and Procedures on Suitability Obligations

Annex 1: SFC circular

Issue Date:

26 Feb 2009

20090226-2-EN.pdf (190.6 KB)

Topic:

Miscellaneous - SFC/IA/MPFA

Wealth Management & MPF - Securities/investment products

Group: Registered Institutions

• Directly related Document
• Cross referenced Document
• Version History
• Superseded Document

Directly related Document

• CIR

  Current

  26 Feb 2009

  Circular Issued by the Securities and Futures Commission (SFC) Regarding Self-Examination of Controls and Procedures on Suitability Obligations
• Annex

  Current

  26 Feb 2009

  Annex 2 - List of RIs that the HKMA intends to invite participation in the 2009 CSA process

Directly related Document

• CIR

  Current

  26 Feb 2009

  Circular Issued by the Securities and Futures Commission (SFC) Regarding Self-Examination of Controls and Procedures on Suitability Obligations
• Annex

  Current

  26 Feb 2009

  Annex 2 - List of RIs that the HKMA intends to invite participation in the 2009 CSA process

Cross referenced Document

Version History

Superseded Document

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