SFC Compliance Forum 2019: the SFC outlines its key supervisory priorities for the year ahead

Posted on June 20, 2019
Archive : June 2019
Category : Herbert Smith Freehills

SFC Compliance Forum 2019: the SFC outlines its key supervisory priorities for the year ahead

20 June 2019

The Securities and Futures Commission (SFC) held its third annual Compliance Forum (Forum) on 17 June 2019 – a series of six panel discussions with industry participants: Morning plenary panel: Digital journey of client onboarding, act on red flags of improper client activities Morning breakout session 1: Vaccines of client protection – internal controls and supervision of account executives Morning breakout session 2: Securities margin financing Afternoon plenary panel: Governance framework as a driving force for a culture of accountability and behavioural change Afternoon breakout session 1: Gearing up for distribution of investment products in an evolving world Afternoon breakout…

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