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SFC Compliance Forum 2019

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.

Programme rundown
Morning session
Afternoon session

Discussion materials
Breakout Session: Securities Margin Financing Activities

Last update: 16 Aug 2019

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