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Thursday
Jun162011

SFC regulation and supervision of intermediaries

DateThursday, June 16, 2011 at 7:39AM

On 2 June 2011, the SFC released two papers that detail the existing regulatory and supervisory framework for intermediaries.

The first paper, “Regulatory Framework for Intermediaries” outlines the broad role and approach taken by the SFC in regulating intermediaries. The second paper, “Approach to Supervision of Intermediaries” includes details of the SFC supervision processes.

By releasing these papers the SFC hopes that there will be a better understanding of what is expected of the intermediaries, and provide an insight into how things work at the SFC.

Article written by AuthorKathryn Mathers | | | Print ArticlePrint Article | CommentPost a Comment
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