CIR

Current

Circular Issued by the Securities and Futures Commission (“SFC”) on Protecting Client Assets Against Internal Misconduct

Annex 1: SFC Circular

Issue Date:

15 Feb 2016

20160215-2-EN.pdf (136.8 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• Superseded Document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

  15 Feb 2016

  Circular Issued by the Securities and Futures Commission (“SFC”) on Protecting Client Assets Against Internal Misconduct
• Annex

  Current

  15 Feb 2016

  Annex 2 - SFC Circular Appendix 1
• Annex

  Current

  15 Feb 2016

  Annex 3 - SFC Circular Appendix 2

Directly related Document

• CIR

  Current

  15 Feb 2016

  Circular Issued by the Securities and Futures Commission (“SFC”) on Protecting Client Assets Against Internal Misconduct
• Annex

  Current

  15 Feb 2016

  Annex 2 - SFC Circular Appendix 1
• Annex

  Current

  15 Feb 2016

  Annex 3 - SFC Circular Appendix 2

Cross referenced Document

Version History

Superseded Document

You may also be interested in

+

-

CIR
Archive
16 Feb 2015
Fund Management Activities Survey 2014 Conducted by the Securities and Futures Commission (SFC)

Annex: Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2014
CIR
Archive
08 Dec 2023
SFC and HKMA joint product survey 2023
CIR
Current
02 Jan 2009
Circular Issued by the Securities and Futures Commission (SFC) on the Revised Advertising Guidelines Relating to SFC-authorised Collective Investment Schemes

Annex 1: SFC Circular