CIR

Current

Circular Issued by the Securities and Futures Commission (“SFC”) on Common Instances of Non-Compliance in Managing Funds and Discretionary Accounts

Issue Date:

19 Sep 2017

20170919-2-EN.pdf (95.9 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• Superseded Document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

• Annex

  Current

  19 Sep 2017

  Annex 1 - SFC Circular of 15 Sep 2017

• CIR

  Current

  02 Aug 2017

  Circular Issued by the Securities and Futures Commission (“SFC”) on Irregularities and Deficiencies in Managing Private Funds and Discretionary Accounts

Directly related Document

• Annex

  Current

  19 Sep 2017

  Annex 1 - SFC Circular of 15 Sep 2017

Cross referenced Document

• CIR

  Current

  02 Aug 2017

  Circular Issued by the Securities and Futures Commission (“SFC”) on Irregularities and Deficiencies in Managing Private Funds and Discretionary Accounts

Version History

Superseded Document

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