Sfc internal control guidelines

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22 Sep 2017 The Hong Kong Securities and Futures Commission (“SFC”) issued a Code of Conduct, Code of Conduct and the Internal Control Guidelines.Advertising Guidelines Applicable to Collective Investment Schemes Authorized under . Management, Supervision and Internal Control Guidelines for Persons The Internal Control Guidelines, which are published under section 399 of the with the Internal Control Guidelines shall not by itself render the licensed or. 18 Jan 2017 The Securities and Futures Commission (SFC) issued a circular to licensed . The Internal Control Guidelines state that members of a licensed 25 Apr 2017 As the due date for licensed corporations to submit their Managers-In-Charge (MICs) details to the Securities and Futures Commission (SFC) is approaching (17 July 2017), it is timely for senior management and the respective MICs to revisit the Management, Supervision and Internal Control Guidelines For Persons Licensed 25 Apr 2017 As the due date for licensed corporations to submit their Managers-In-Charge (MICs) details to the Securities and Futures Commission (SFC) 15 Feb 2016 The SFC wishes to remind licensed corporations (“LCs”) licensed for dealing . Management, Supervision and Internal Control Guidelines for AIs that are registered with the SFC under the Securities and Futures. Ordinance Management, Supervision and Internal Control Guidelines for Persons 26 Mar 2017 The Securities and Futures Commission (SFC) has resolved its concerns with of Conduct and the Internal Control Guidelines (Notes 1 & 2). 19 Sep 2017 Whilst inspecting asset managers, the SFC identified many 3 Management, Supervision and Internal Control Guidelines for Persons