Sfc circular on instant messaging

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August undefined, 2024

Web7 Nov 2024 · The SFC circular relates to regulatory records. Those are broadly defined as records or documents relating to the carrying on of the regulated activity for which (the company) is licensed. The circular additionally describes procedures related to “relevant information”, i.e., client data and information relevant to the firm’s business operations. WebInstant Messaging (IM) Application Circular On 4th May 2024, SFC issued a circular providing guidance on the measures and controls which intermediaries need to establish …

e-Distribution - SFC

Web(Internal Control Guidelines), Circular to All Licensed Corporations on Alerts for Ransomware Threats issued on 15 May 2024, Circular to Intermediaries on Receiving Client Orders … Web28 Dec 2024 · A complete ban of any form of unmonitored instant messaging; Restricting messaging apps and specifying which can be used; Implementing software solutions that work with instant messaging platforms to allow monitoring and data retention (e.g. LeapXpert Federated Messaging Orchestration Platform). Options For Company Instant … is it cheaper to use ebay shipping labels

SFC Acts on Instant Messaging for Finance Ops - finews.asia

WebSFC's Circular to Intermediaries – Receiving Client Orders through Instant Messaging[7] dated 4 May 2024 2024 Circular ) in relation to record keeping, security and reliability, compliance monitoring and establishing internal policies and procedures are observed. Web28 May 2024 · The circular, published on May 4, was issued in response to the rising use of instant messaging for communications among traders and their brokers. The SFC has … WebYou need to enable JavaScript to run this app. e-Distribution. You need to enable JavaScript to run this app. kern rural wellness center arvin

SFC guidance on receiving client orders through instant messaging

SFC issues guidance on IM messaging controls FIA

Web4 Oct 2024 · Appendix A to this circular provides operational resilience standards and required implementation measures which supplement the SFC’s existing guidance. … Web13 Sep 2024 · This circular sets out the requirements to be observed for obtaining express consent from individual clients as ... and/or the Securities and Futures Commission (SFC) under the HKIDR and OTCR. Such consent may be obtained by written and signed acknowledgement on paper, or by electronic means (which may include, for example, by … kern river whitewater rafting tripsWebSFC’s guidance on capture of voice calls, instant messaging and other mobile communications includes: Centralized record-keeping; Security and reliability; and compliance monitoring. SFC also enforces regulations that oblige financial companies to record mobile messages, and capture voice calls, and other types of mobile … kern roofing company

"Web2 Mar 2024 · Joint SFC-HKMA circular to intermediaries The joint circular covers a range of VA-related activities by intermediaries in light of the rapidly evolving developments in VA products and services. It sets out some new requirements (such as additional investor protection measures) and reminds intermediaries of the existing requirements that apply … " - Sfc circular on instant messaging

Sfc circular on instant messaging

Hong Kong – SFC issues circular on receiving client orders …

Web3 Mar 2024 · In May 2024, SFC issued a circular, which includes suggested controls for intermediaries using instant messaging (IM) applications, such as WhatsApp. … Web4 May 2024 · The Securities and Futures Commission (SFC) received a number of enquiries from the securities industry about the receipt of client orders through instant messaging 1 …

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Web25 Feb 2024 · View PDF. Authored by: Su Cheen Chuah and Joey Lee On 28 January 2024, the Hong Kong Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) issued a joint circular on intermediaries’ virtual asset-related activities (Joint Circular), which supersedes the SFC’s circular to intermediaries on the distribution … Web29 May 2024 · SFC guidance on receiving client orders through instant messaging. The SFC issued a circular on client orders received through instant messaging (IM) in May 2024 …

Web13 Sep 2024 · This circular sets out the requirements to be observed for obtaining express consent from individual clients as required under paragraphs 5.6(p) and 5.7(h) 1 of the … Web5 Feb 2024 · The SFC’s latest circular adds that SFC-licensed intermediaries are expected to remain focused on internal controls and risk management to ensure financial and …

Web11 Mar 2024 · WeChat promises free, crystal clear voice and video calls along with individual and group instant messaging.. It also offers multimedia messaging, group chat and calls, sticker galleries, your own … Web21 May 2024 · The Securities and Futures Commission (SFC) has published suggested controls for intermediaries using instant messaging (IM) applications in a circular of 4 …

WebHong Kong – SFC issues circular on receiving client orders through instant messaging services On 4th May 2024, the SFC issued a circular to intermediaries on the use of …

Web7 May 2024 · The securities regulator in Hong Kong issued guidance for intermediaries who use instant messaging apps to take orders from customers. The use of such communications channels is increasing rapidly. finews.ch; finews.com; Where Finance Meets. ... SFC Acts on Instant Messaging for Finance Ops Julia Leung, SFC Hong Kong. … kerns 1994 peer relationships in childhoodWeb31 Mar 2024 · The Securities and Futures Commission (“SFC”) is closely monitoring the development of the global COVID-19 pandemic. The SFC is aware of concerns from the … is it cheaper to use paper towels or napkinsWeb22 Dec 2024 · Why the SFC. Join us as an experienced professional. Current Openings; Join us as a Graduate Trainee. Graduate Trainee Programme; Join us as an Intern. Summer … is it cheaper to use usps flat rate boxWeb1 to the Circular, AIs should observe the following FAQs, and adopt the principles and requirements to the extent applicable: FAQ 3: investment-linked assurance scheme … is it cheaper to use slow cooker than ovenWebThe Securities and Futures Commission (SFC) received a number of enquiries from the securities industry about the receipt of client orders through instant messaging 1 (IM). This circular provides guidance on the key controls and procedures which intermediaries are expected to put in place when using IM applications to receive client orders. is it cheaper to use usps or upsWebHong Kong – SFC issues circular on receiving client orders through instant messaging services On 4th May 2024, the SFC issued a circular to intermediaries on the use of instant messaging services such as Whatsapp and WeChat … kerns airmanship modelWeb13 Sep 2024 · According to SFC’s guidelines, businesses must capture voice calls, instant text messaging and any other mobile communications for centralized record-keeping and compliance monitoring. In addition, the SFC also regulates financial companies with a layer of supervision and oversight. kerns aero products