Compliance With The SFC Manager-In-Charge Regime

刊登於2017年6月15日

On 16 December 2016, the Securities and Futures Commission (SFC) issued a Circular, two Annexes and a Frequently Asked Questions (FAQs) (the “Circular”) aimed at augmenting the accountability of senior management of licensed corporations and introducing a new ‘Manager-in-Charge’ of Core Functions (MIC) regime. This circular is particularly important to an individual who has been, or will be appointed by the Licensed Corporations (LCs) as the MIC and he/she is not the Responsible Officers (ROs) of the LCs.

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