17 June 2019, Hong Kong
On 17 June, we hosted the SFC Compliance Forum 2019 to exchange views with the industry on our recent guidance on securities margin financing, prime brokerage business, client onboarding and transaction monitoring, as well as regulatory issues noted in selling practices. Management accountability, internal controls and supervision of account executives were also covered. More than 700 participants attended the event.
Breakout Session: Securities Margin Financing Activities
Last update: 16 Aug 2019