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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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