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SFC releases thematic review on prime brokerage services

Asian Private Banker - SFC and SEC enhance cross-border scrutiny

The Securities and Futures Commission (SFC) has reminded financial institutions that provide prime brokerage services to ensure their risk management procedures are “no less stringent than the applicable local rules”, irrespective of where assets are booked. On Monday, the regulator published its ‘Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong’ in addition…

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