Sfc guidelines for sponsors and compliance advisor

compliance manual sfc
sfc codes and guidelines
sfc faq
sfc code of conduct
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13 Oct 2018 Chapter 3A. GENERAL. SPONSORS AND COMPLIANCE ADVISERS . under the Exchange Listing Rules and the Code of Conduct to provide information to . Practice Note 21 and the SFC Sponsor Provisions. Sponsor's 28 Apr 2011 on the SFC's Report on Sponsor Theme Inspection Findings (“the Report”), which the importance of compliance with the relevant regulatory requirements under the act as Sponsors and Compliance Advisers. 3. Corporate18 Oct 2013 SFC Publishes FAQ On The New Sponsor Regime. or continuing to act as Sponsors and Compliance Advisers (the Sponsor Guidelines). Sponsors. SFC Licensing and On-Going Compliance. Sponsors must be to act as Sponsors and Compliance Advisers (Sponsor Guidelines) in order to be Under the Securities and Futures Commission's (SFC's) Additional Fit and Proper Guidelines for Corporations and Authorised Financial Institutions applying or continuing to act as Sponsors and Compliance Advisers (Sponsor Guidelines), a transaction team undertaking a sponsor engagement should include at least one 5 Sep 2006 In order to assist the industry to prepare for the new regime set out under the Guidelines for Sponsors and Compliance Advisers (Sponsor Guidelines), the SFC has published the following documents. Intermediaries should submit these forms as soon as practicable for the SFC's assessment. 12 May 2006 It is proposed that the existing Listing Rules relating to the eligibility of sponsors and compliance advisers will be removed once the new SFC 15 Nov 2006 SEHK will continue to cooperate with SFC in this regard and, for example, Under the Guideline for Sponsors and Compliance Advisers, Guidance Note on Cooperation with the SFC, Dec 2017, One version Guidelines on Online Distribution and Advisory Platforms, Effective date: 6 Apr 2019, - Any material non-compliance issue should be reported to the SFC promptly. . the Consultation Paper on the Regulation of Sponsors and Compliance Advisers.