Page 41 - 期货和衍生品行业监管动态（2023年8月刊）
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期货和衍生品行业监管动态




                   Executive Officer. “The new guidelines will help futures brokers prudently manage

                   risks for their proprietary and agency dealing businesses.”


                        Futures  brokers  have  a  transitional  period  of  six  months  to  comply  with  the

                   guidelines and an additional 12 months to implement system changes for compliance

                   with requirements relating to the automation of client risk limit controls and stress

                   testing.


                        The guidelines were gazetted today and will become effective on 25 February

                   2024.


                        Note:


                        1.  The consultation began on 25 November 2022 and ended on 31 January 2023.

                           The SFC received 21 written submissions from industry associations, futures

                           brokers, professional bodies, consultancy firms and individuals.



                   https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-
                   announcements/news/doc?refNo=23PR95






































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