Tag: client assets
Showing 2 out of 2 results
05 June 2020
Megan Butler on the FCA’s response to Covid-19 and expectations for 2020
18 January 2019
SFC publishes findings and guidance on protection of client assets following reviews of brokers’ internal controls and supervision of account executives
Last month, the Securities and Futures Commission (SFC) published a circular, a report and a self-assessment checklist to provide guidance on the …