Tag: code of conduct
Showing 3 out of 3 results
17 October 2023
Diversity and inclusion in the UK financial sector - driving change
21 September 2018
SFC issues further reminder regarding paragraph 12.5 self-reporting obligation
The SFC has issued a circular to remind intermediaries to comply with the self-reporting obligation under paragraph 12.5 of the Code of Conduct for …
21 November 2017
Hong Kong SFC publishes consultation conclusions on asset management regulation and launches further consultation
On 16 November 2017, the Securities and Futures Commission (SFC) in Hong Kong published its consultation conclusions on proposals to enhance asset …