November 27, 2017 BY Valentina Kirilova
HKMA and SFC issue joint reviews on managing conflicts of interest in financial groups
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) have issued a circular highlighting observations from their recent joint thematic reviews on the potential conflicts of interest arising from the sale of in-house products by registered institutions and licensed corporations within a single financial group. The reviews mainly focused on internal…
Read more