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08 Sep 2022

SFC's report on the review of licensed corporations providing online brokerage, distribution and advisory services

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The Securities and Futures Commission published the Report on the review of licensed corporations providing online brokerage, distribution and advisory services on 31 August 2022. The report (1) sets out the SFC's observations and findings regarding the industry, (2) highlights compliance issues identified from its review, and (3) sets out its expected standards from licensed corporations providing online brokerage, distribution and advisory services.

This client alert summarises the key takeaway points of the report.

Click here to read more.

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Katherine Liu

Katherine Liu
Partner

T:  +852 2533 2717 M:  +852 6193 5227 Email Katherine | Vcard Office:  Hong Kong

James Wong

James Wong
Associate

T:  +852 3166 6933 M:  +852 9447 7337 Email James | Vcard Office:  Hong Kong

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