The Securities and Futures Commission has recently published an updated edition of its Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission: see here (pdf). The Code is used by the SFC when considering whether a licenced or registered person satisfies the requirement to be fit and proper.
Friday, 7 October 2011
Hong Kong: Code of Conduct for SFC Licensed/Registered Persons
The Securities and Futures Commission has recently published an updated edition of its Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission: see here (pdf). The Code is used by the SFC when considering whether a licenced or registered person satisfies the requirement to be fit and proper.
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