The thematic review seeks to establish disclosure and other practices as Hong Kong regulators align their framework with the Singapore market.

The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) will set in motion a concurrent thematic review in the second half of this year to assess intermediaries’ spread charges and other practices as well as their compliance with regulatory requirements governing the disclosure of ‘trading capacity and monetary benefits’. The review will cover policies, procedures, systems and controls on selected intermediaries as well as management oversight o

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