SFC “may take enforcement action” against errant licensed asset managers

18 September 2017 | 2 minutes read

Hong Kong’s Securities and Futures Commission (SFC) has warned that it “may take enforcement action” against licensed asset managers that breach its rules covering the management of funds and discretionary accounts. The SFC said in a circular last Friday that it has identified nine areas of non-compliance in the asset management industry, after carrying out around 250 inspections of international…

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