Circular to intermediaries Compliance with notification requirement

Phone: 650.723.2465
Fax: 650.725.0253

Type: Regulation
Date: 09/14/2018
Agency: Securities and Futures Commission
Jurisdiction: Hong Kong
Type of Law: Guidance
Status: Existing
Official URL: External link

This circular serves to remind intermediaries, including those engaged with cryptoassets, of the notification requirement under paragraph 12.5 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Code of Conduct) under which intermediaries are required to report to the Securities and Futures Commission (SFC) immediately upon the happening of, among other things, any material breach, infringement of or non-compliance with any law, rules, regulations and codes administered by the SFC or any such suspected breach, infringement or non-compliance