SFC uncovers execution deficiencies in Hong Kong financial sector

31 January 2018 | 2 minutes read

Hong Kong’s Securities and Futures Commission (SFC) has uncovered deficiencies in the execution practices of licensed corporations following a wide-spanning review. The SFC’s report was based on survey and discussions with 21 LCs, including global financial institutions, asset management firms and local brokers. The regulator also conducted onsite inspections at selected LCs to “assess their controls and their effectiveness in…

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