SFC's Fund Manager Code of Conduct The updated terms to the Securities and Futures Commission’s (SFC) Fund Manager Code of Conduct (FMCC) came into effect on November 17, 2018. No fighting, taunting or threatening remarks and/or gestures Almost 500 of our 850 employees are co-owners. C. The conduct listed below constitutes grounds for disciplinary action. Alexandra Hagen CEO, White Arkitekter We are proud of being an employee-owned company with professional expertise. Las Vegas Lights FC expects all fans to abide by the following Code of Conduct. The SFC is reportedly seeking to frame a detailed code of conduct for capital raisings that will cover how investment banks calculate their fees.To continue reading... Sign in Password * Remember me Lost your password? About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search. These codes reflect the policy of football in Western Australia, and outline the required conduct for all participants across the state. The EU Code of Conduct is providing a robust response to illegal hate speech online. SFC conducted a thematic review of Algo trading . Share + Add to Binder. New SFC consultation on amending Code of Conduct. The deadline of November 18, 2018, has now passed for the SFC FMCC. Prohibited conduct includes, but is … 29.2 – SFC’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Code of Conduct) 29.3 – SFC’s Corporate Finance Adviser Code of Conduct (the CFA Code) 29.4 – Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited (The Listing Rules) 1.3 The Act requires the Scottish Ministers to lay before Parliament a Code of Conduct for Councillors and a Model Code for Members of Devolved Public Bodies. CODE OF CONDUCT pologists, ecologists and scientists.This Code of Conduct for corporate sustaina - bility clarifies our position and outlines the ways in which we take responsibility for our actions. The 18 November 2018 deadline has now passed for the SFC (Securities and Futures Commission) Fund Manager Code of Conduct (FMCC). On 12 December 2018, Hong Kong’s securities regulator, the Securities and Futures Commission (SFC) issued its consultation conclusions on amendments to the Hong Kong code of conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Hong Kong Code of Conduct) to:introduce new requirements on over-the-counter (OTC) … means the Code of Conduct for Persons Licensed by or Registered with the SFC. Since adoption in 2016, the Code of Conduct is delivering continuous progress: the last evaluation shows that on average the companies are now assessing 90% of flagged content within 24 hours and 71% of the content deemed illegal hate speech is removed. Define SFC Code of Conduct. If you continue to use this website, you are agreeing to their uses. In addition to the prohibited conduct listed below, the College may, from time to time, promulgate regulations or policies that pertain to specific situations. Section reference: Paragraph 9A(a) & (b) in Schedule 5 The remote onboarding of clients by SFC licensed intermediaries is facilitated by amendments to paragraph 5.1 of the Securities and Futures Commission’s (SFC) Code of Conduct for Persons Licensed by or Registered with the SFC (SFC Code of Conduct) which took effect on … Should an intermediary still choose to enter into a client agreement with such a client for business efficacy or other valid reasons, it would not be obliged to include the New Clause given that the requirement for an agreement can be waived under the Code in the first place. Expand all Collapse all. General Principle 2, Diligence, SFC Code of Conduct, which provide that in conducting its business activities, a licensed or registered person should act with due skill, care and diligence, in the best interests of its clients and the integrity of the market; and C. The conduct listed below constitutes grounds for disciplinary action. History. Securities and Futures Commission54/F, One Island East18 Westlands Road, Quarry Bay, Hong Kong, Tel +852 2231 1222 As stated in the Consultation Conclusions on the Client Agreement Requirements (“Consultation Conclusions”) issued on 8 December 2015, all intermediaries, including those licensed or registered for Type 9 regulated activity, should include the New Clause in their client agreements. Intermediaries should include the New Clause in the client agreements unless they are entitled to exemptions as explained in paragraphs 35 and 36 of the Consultation Conclusions. Now, the SFC has decided that paragraph 1.4 will be deleted, meaning that fund managers must comply both with the Code of Conduct and the FMCC. Define SFC’s Code of Conduct. Under Part I of Schedule 10, the specified risk mitigation requirements will apply to: by negative consent approach or by re-executing the agreement) and intermediaries should seek legal advice on this if in doubt. This FAQ aims to provide guidance on the application of paragraph 6.2(i) of the Code. of the codes. The New Clause must be incorporated verbatim with no modification to its original wording. SFC’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the Code of Conduct) 2.1 Standards. Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission. SFC Code of Conduct The Code sets the requirements that a licensed or registered person is deemed “fit and proper” to remain licensed or registered SFC will be guided by the Code of Conduct in such assessment, having regard to the general principles, as well as the letter, of the Code Failure to comply with the Code may reflect adversely on the person’s fitness and properness The Code of Conduct for Persons Licensed by or Registered with the SFC (Code of Conduct). The SFC Code of Conduct provides a framework to drive continuous improvement in health and safety and product stewardship. Now you can attend your CPT / CPD training online anytime anywhere and even on your smartphone or tablet! This is by far the biggest Island Conference! View 2019.20 Topic 4 Code of Conduct.pptx from FINA 3383 at HKU. In order to ensure compliance with the notification requirement of Paragraph 12.5 of the Code of Conduct, the SFC recommends that all intermediaries should review their incident escalation and reporting mechanisms and implement appropriate controls. Get access Get access immediately by purchasing a 12 month subscription, or register today to get access to a free 5-article trial: Register Subscribe … As these mechanisms and controls are ordinarily found within an intermediary’s regulatory compliance manual, intermediaries should consider whether any changes, by the intermediary, are required to existing internal policies and procedures. While the SFC has several sets of guidelines governing how banks and brokers handle transactions, it is seeking to frame a detailed code of conduct for … SFC's Fund Manager Code of Conduct The updated terms to the Securities and Futures Commission’s (SFC) Fund Manager Code of Conduct (FMCC) came into effect on November 17, 2018. Code of Conduct – Revision 2 14 June 2018 Changes: Layout, Minor Punctuation Correction Code of Conduct This Code of Conduct has been developed to assist club members to promote active participation in flying and social activities within a safe and enjoyable environment. CONDUCT GUIDELINES: No obscene or abusive language, behavior or signs . However, the SFC has no objection to minor and inconsequential drafting amendments to the New Clause which modify the references of ''we'' to ''the Firm'', ''you" to "the Customer" and "agreement" to "Terms" etc. Revised SFC Fund Manager Code of Conduct Independent Valuation Review The revised SFC’s Fund Manager Code of Conduct ("FMCC") which came into effect on 17 November 2018 requires that a fund manager to perform a periodic review (at least annually) of their valuation policies, procedures and processes. In addition to the prohibited conduct listed below, the College may, from time to time, promulgate regulations or policies that pertain to specific situations. If you continue to use this website, you are agreeing to their uses. Avoid conduct that will reflect adversely on the club or the aviation industry; 2. As with many regulatory change projects, implementation is no longer “the end” of the road; rather, it is a beginning of sorts for Hong Kong’s fund management community. 3. The Enhanced Suitability Proposal will be implemented through changes to the Code of Conduct for Persons Licensed by or Registered with the SFC (“Code of Conduct”) and will take effect on April 6, 2019. Eng ... Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the “Code”) This FAQ aims to provide guidance on the application of paragraph 6.2(i) of the Code. Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply. 3. The Commission will be guided by this Code of Conduct (“the Code”) in considering whether a licensed or registered person satisfies the requirement that it is fit and proper to remain licensed or registered, and in that context, will have regard to the general principles, as well as the letter, of the Code. Laytown United Schoolboy’s/girls Football Club < Laytown United SFC Code of Conduct . It describes the requirements we set for ourselves and our expectations of customers and business partners. Now, the SFC has decided that paragraph 1.4 will be deleted, meaning that fund managers must comply both with the Code of Conduct and the FMCC. 2.1.1 A sponsor should deal with the regulators in a truthful, cooperative and prompt manner. On 8 November 2011, the Securities and Future Commission (SFC) issued a consultation paper on proposals to amend the Code of Conduct for Persons Licensed by or Registered with the SFC. SFC: 1 CPT . Prohibited conduct includes, but is not limited to, the following: 1. Breach of a code of conduct provision may lead to disciplinary action. SFC to keep closer eye on derivatives traders Topic | SCMP Reporter Published: 12:00am, 11 May, 1995. Seminar 4 SFC Code of Conduct 30th September 2019 Agenda of the Day • SFC Code of Conduct • The case of Selina Kwok vs HSBCPB • With the regulation now in force, there are a number of activities firms should … With regard to how to amend the client agreements, it depends on the circumstances and can be done in different ways (e.g. Define SFC Code of Conduct. The SFC also issued relevant FAQs in the Appendix to … Without prejudice and in addition to any other provisions of the General Terms and Conditions of Business and … If adopted, the codes will ensure that young people develop good sporting behaviours and have an […] And as we prepare our hearts for the IslandCon, let us also be reminded of our SFC Code of Conduct in online activities. [Paragraph 17.2(d) of the Code of Conduct] Email enquiry@sfc.hk, Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission, Code on Immigration-Linked Investment Schemes, Corporate Finance Adviser Code of Conduct, The Codes on Takeovers and Mergers and Share Buy-backs, We use cookies to improve the website performance and user experience. Intermediaries are expected to make available revised client agreements expeditiously to enable existing clients to enter into revised client agreements (by way of amending / replacing their existing agreements) as soon as possible. SFC Consultation Paper proposed amendments to Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission Proposed Amendments to the Code In Relation To The FDRC process Licensees participation in the FDRC process pursuant to Paragraphs 12A and 12.3(c) of the Code And so it is for Hong Kong’s fund management community and the new code of conduct. Learn more about our, Academic and Accreditation Advisory Committee, Committee on Real Estate Investment Trusts, Share Registrars' Disciplinary Appeals Committee, Mainland-Hong Kong Mutual Recognition of Funds, Cooperative arrangements with the CSRC and Mainland exchanges, Cooperative arrangements with other Mainland regulators, Investigatory assistance and exchange of information, Public enquiries: Further guidance and sources of information, Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions, Guidelines on Disclosure of Inside Information, Disciplinary proceedings before the Takeovers Panel, Types of intermediary and licensed individual, Register of licensees & registered institutions, List of modifications or waivers of licensing requirements, List of jurisdictions with comparable OTCD margin requirements, List of publicly offered investment products, Specific information about unlisted structured investment products, List of recognised jurisdiction schemes and inspection regimes, List of registered open-ended fund companies, Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordinance, List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance, Aggregated reportable short positions of specified shares, Securities and Futures Ordinance (with subsidiary legislation), Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation), Securities and Futures Ordinance Part XV - Disclosure of Interests, List of eligible jurisdictions for remote onboarding of overseas individual clients, Anti-money laundering and counter-financing of terrorism, Other publications and information sources, Minimum information to be provided and warning statements, Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong, High shareholding concentration announcements, CFTC exemption to deal directly with U.S. customers, Business continuity/contingency information, The Investor Compensation Company Limited. General Principles 2 and 6 of the Code of Conduct provide that a licensed corporation should act in the best interests of clients and avoid conflicts of interest. On 18 November 2018, this new set of rules will come into force, bringing additional governance, operational, and disclosure requirements. Intermediaries shall have regard to the definition set out in the SFO in determining whether their clients could be treated as Institutional PIs for the purpose of complying with paragraph 6.2(i) of the Code. The Enhanced Suitability Proposal will be implemented through changes to the Code of Conduct for Persons Licensed by or Registered with the SFC (“Code of Conduct”) and will take effect on April 6, 2019. Address. Share to: Overview. The SFC will introduce risk mitigation requirements for non-centrally cleared OTC derivatives as conduct requirements on LCs to be included in a new Schedule 10 to the Code of Conduct. 06 December 2011, Investment Funds, Newsletter by Jane McBride. Accredited by the Law Society of Hong Kong. It applies to anyone licensed by or registered with the SFC to carry out asset management activities in Hong Kong. All employees (including directors and office bearers), members, and their guests must comply with the code of conduct of Schofields Flying Club Limited and its associated entities as follows: 1. In late 2016, the SFC conducted a thematic review of algo trading in Hong Kong to assess whether firms are complying with the Code of Conduct. Historically, the requirement to ensure suitability was triggered where an intermediary recommended or solicited a transaction. Securities and Futures Commission 54/F, One Island East 18 Westlands Road, Quarry Bay, Hong Kong Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (“Code of Conduct”) This FAQ aims to provide guidance on application of paragraphs 8.3 (b) (ii), 8.3A (a) (iii) and 8.3A (b) of the Code. The SFC noted that the enhancements to the FMCC are intended to reflect the latest international benchmarks concerning the conduct of fund managers issued by the International Organization of Securities Commissions (IOSCO) and the Financial Stability Board (FSB), and other international expectations which are intended to ensure that Hong Kong has a robust … Why you can trust SCMP. Compliance Training on SFC Revised Fund Manager Code of Conduct - How to Prepare Compliance Manual and Policies to ensure Compliance. Securities and Futures Commission54/F, One Island East18 Westlands Road, Quarry Bay, Hong Kong, Tel +852 2231 1222 Historically, the requirement to ensure suitability was triggered where an intermediary recommended or solicited a transaction. our Code of Conduct has been divided into seven sections: Corporate Governance, Human Rights, Labour, Business Ethics, A Human-Centred Approach, Contributing to Society and Environment. The SFC will introduce risk mitigation requirements for non-centrally cleared OTC derivatives as conduct requirements on LCs to be included in a new Schedule 10 to the Code of Conduct. Agreement and adherence to this code of conduct is a requirement for membership in the Spray Foam Coalition for companies that manufacture SPF the Code of Conduct for Persons Licensed by or Registered with the SFC (Code of Conduct), which will take effect on 17 August 2018; and the Fund Manager Code of Conduct (FMCC), which will take effect on 17 November 2018. Learn more about our, Academic and Accreditation Advisory Committee, Committee on Real Estate Investment Trusts, Share Registrars' Disciplinary Appeals Committee, Mainland-Hong Kong Mutual Recognition of Funds, Cooperative arrangements with the CSRC and Mainland exchanges, Cooperative arrangements with other Mainland regulators, Investigatory assistance and exchange of information, Public enquiries: Further guidance and sources of information, Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions, Guidelines on Disclosure of Inside Information, Disciplinary proceedings before the Takeovers Panel, Types of intermediary and licensed individual, Register of licensees & registered institutions, List of modifications or waivers of licensing requirements, List of jurisdictions with comparable OTCD margin requirements, List of publicly offered investment products, Specific information about unlisted structured investment products, List of recognised jurisdiction schemes and inspection regimes, List of registered open-ended fund companies, Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordinance, List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance, Aggregated reportable short positions of specified shares, Securities and Futures Ordinance (with subsidiary legislation), Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation), Securities and Futures Ordinance Part XV - Disclosure of Interests, List of eligible jurisdictions for remote onboarding of overseas individual clients, Anti-money laundering and counter-financing of terrorism, Other publications and information sources, Minimum information to be provided and warning statements, Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong, High shareholding concentration announcements, The Investor Compensation Company Limited, Code of Conduct for Persons Providing Credit Rating Services, SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products, No previous versions before the launch of the Handbook. Quinns FC abides by the Codes of Conduct set by Football West for all players, coaches and parents. 29.2 – SFC’s Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (Code of Conduct) 29.3 – SFC’s Corporate Finance Adviser Code of Conduct (the CFA Code) 29.4 – Rules Governing the Listing of Securities on the Stock Exchange of … Under the Code, the bank was required to take into account customers’ investment … Introduction . Inter… The CA also considered the SFC Code of Conduct, which it regarded as setting out the benchmark standards in the financial services industry and the “embodiment of the business conscience”, to which a court was entitled to make reference in assessing unconscionability under the UCO. For further guidance relating to these paragraphs, please also refer to the FAQ issued on 16 November 2017. Risk mitigation requirements are operational and documentation requirements aimed at reducing the counterparty credit risk and operational risk faced by LCs when they trade non-centrally … On 18 November 2018, this new set of rules will come into force, bringing additional governance, operational, and disclosure requirements. Q1: Should the authorization status (that is, whether or not the product or offering document has been authorized by the Commission) form part of the “relevant material information” which is required to be disclosed to the clients by the licensed or registered persons under the Code of Conduct? These include the discretion to waive the need to enter into a client agreement when dealing with these classes of investors under the new paragraph 15.4 of the Code (for an intermediary serving a Corporate PI to be exempt, it should observe the assessment requirements under the new paragraph 15.3A and comply with the new paragraph 15.3B of the Code). The Code of Conduct for Persons Licensed by or Registered with the SFC (Code of Conduct). The implementation deadline for the SFC (Securities & Futures Commission) Fund Manager Code of Conduct (FMCC) is now about one month away for fund managers with operations in Hong Kong. SFC Code of Conduct The Code sets the requirements that a licensed or registered person is deemed “fit and proper” to remain licensed or registered SFC will be guided by the Code of Conduct in such assessment, having regard to the general principles, as well as the letter, of the Code Failure to comply with the Code may reflect adversely on the person’s fitness and … The Securities and Futures Commission (SFC) has published a consultation paper (SFC Consultation Paper) the main focus of which is proposed amendments to the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (the Code) in relation to the proposed establishment of a Financial Dispute Resolution Centre Ltd (FDRC) by the Government of Hong Kong to handle monetary disputes between financial institutions and their individual and sole proprietorship cus… Define SFC’s Code of Conduct. The implementation deadline for the SFC (Securities & Futures Commission) Fund Manager Code of Conduct (FMCC) is now about one month away for fund managers with operations in Hong Kong. This introduces two problems. It applies to anyone licensed by or registered with the SFC to carry out asset management activities in Hong Kong. No chants with inappropriate language including any comments regarding racism, sexual orientation or ethnicity are permitted . Eng ... Code of Conduct. means the Code of Conduct for Persons Licensed by or Registered with the SFC as amended, supplemented and/or modified from time to time; About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search. As with many regulatory change projects, implementation is no longer “the end” of the road, rather, it is a beginning of sorts. 09 Jan 2017. 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