Sfc circular on conduct requirements for otcd

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August undefined, 2024

WebJul 6, 2024 · The SFC Circular requires a fund’s offering documents to provide necessary information for investors to be able to make an informed judgement of the investment. This includes the ESG focus, ESG investment strategy, expected proportion of ESG investment (in terms of net asset value), any reference benchmark, and related risks. WebFeb 10, 2024 · The 2024 Circular also states that IOIs should contain sufficient details and should only be disseminated when they are based on a genuine client or proprietary …

SFC and HKMA Joint Circular on intermediaries

Web• Code of Conduct for persons licensed by or registered with the SFC: Sections 18.9 to 18.11; Schedule 7(3): Specific Requirements on Algorithmic Trading • SFC Circular to all Licensed Corporations on Algorithmic Trading (13 December 2016) Scope • Authorized Institutions (“AIs”) conducting algorithmic trading WebApr 20, 2024 · We have compiled the following chronology table which serves as a quick reference point to track the circulars and guidance published by HK financial services regulators in relation to COVID-19. We will update the table regularly. Kindly note that the table is not intended to capture all regulatory publications on an exhaustive basis. lemon meringue angel cake recipe

The SFC updated its Frequently Asked Questions on Compliance …

WebConduct and Internal Control Requirements Under Schedule 11 The SFC will proceed with its proposal to rely on the introduction of Schedule 11 to the Code of Conduct2 and existing provisions in the Product Codes3 for the regulation of RA13 depositaries. The SFC received extensive comments WebWe publish circulars from time to time to remind industry participants of regulatory requirements and help them understand regulatory issues. Please note that anti-money … lemon meringue cheesecake recipes

SFC and HKMA Joint Circular on intermediaries

e-Distribution - SFC

WebJan 4, 2024 · The SFC will introduce the conduct requirements (with respect to (i) segregation and portability, (ii) indirect clearing and (iii) clearing confirmation to clients) … WebJan 11, 2024 · The risk management requirements apply where an SFC licensed corporation arranges for such a group affiliate to enter into OTC derivative transactions: … lemon meringue kush strainWebDec 4, 2024 · Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Clarification on the application of various Listing Rules amendments to SFC-authorised REITs: 31 Jan 2008: Circular to Management Companies of SFC … Notes: In some of these documents, the names of certain individuals have been … We publish circulars from time to time to remind industry participants of certain … The SFC may still take into account its enforcement actions taken before 1 … lemon meringue mango tree

"WebWe publish circulars from time to time to remind industry participants of certain regulatory requirements and/or to help them understand regulatory issues. The following lists all circulars which are sortable by issued date and type. " - Sfc circular on conduct requirements for otcd

Sfc circular on conduct requirements for otcd

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WebThe MIC measures, which spell out for the first time who the SFC regards as senior management, will apply to all LCs, including fund managers, broker-dealers and investment advisers. The introduction of the MIC measures reflects the SFC's increased focus on senior management and individual responsibility for the conduct and activities of an LC. WebJan 29, 2024 · that complies with federal labeling requirements. This prohibits the selling of individual cigarettes or “loosies” which is a violation of Federal law, State law, and the …

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WebOct 11, 2024 · The SFC published a circular informing licensed corporations (LCs) that the SFC will defer the introduction of initial margin (IM) requirements for non-centrally cleared over-the-counter (OTC) derivative transactions by one year to provide operational relief in light of the COVID-19 outbreak. WebMay 6, 2024 · The conduct requirements for (i) bookbuilding and placing activities in equity capital market and debt capital market transactions and (ii) “sponsor coupling” as …

WebThe SFC is now proposing changes to the licensing regime in response to market comments by refining the scope of some of the regulated activities relating to OTC derivatives, and to introduce certain conduct requirements in the Code of Conduct for Persons Licensed by or Registered with the Securities WebNov 4, 2024 · On 29 October 2024, Hong Kong’s Securities and Futures Commission (SFC) issued a consultation paper (the Consultation Paper) on proposed amendments to the Fund Manager Code of Conduct (FMCC) that would require fund managers to consider climate-related risks in their investment and risk management processes.

WebFeb 28, 2024 · The Joint Circular provides guidance on the approach to be taken by SFC-licensed or registered intermediaries 2 that wish to engage in activities relating to virtual assets (VAs, which may include utility tokens, security- or asset-backed tokens, stablecoins and other crypto assets), including various new requirements to be complied with and … WebOn 23 December 2024, the Securities and Futures Commission (the SFC) published a circular to intermediaries 1 announcing updates to its frequently asked questions ( FAQs) on Compliance with Suitability Obligations 2 and Requirements for Complex Products. 3. A summary of the key updates can be found below:

WebJan 11, 2024 · New paragraph 4.3A to the Hong Kong code of conduct will require SFC licensed corporations which enter into non-centrally cleared OTC derivative transactions to implement specified risk mitigation requirements. The SFC licensed corporations subject to specified risk mitigation requirements are set out in a new Schedule 10 to the Hong …

WebGeneral Principal 1 of the Code of Conduct requires intermediaries licensed with the SFC to act honestly, fairly and in the best interests of their clients and the integrity of the market when conducting their business activities. General Principal 8 and paragraph 11(a) of the Code of Conduct further requires intermediaries to lemon meringue kush strain reviewWebThe SFC has clarified that its expectation on the managers-in-charge ("MICs") requirements under the current licensing regime will apply equally to RA13 i.e. the MICs … lemon meringue pie betty crockerWebNov 24, 2024 · The SFC’s circular, together with the appendices, set out: the operational resilience standards; required implementation measures which supplement the SFC’s existing guidance; and the expected regulatory standards for managing and mitigating some major possible risks of remote working. The report: lemon meringue cookies allrecipes