Page 58 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

Senior management responsibility

It should be noted that the above control measures and techniques are by no

means exhaustive. The SFC suggests that each LC review its own circumstances and

ensure that appropriate and effective control procedures are put in place and

effectively enforced. It is the responsibility of the senior management to oversee LCs’

implementation of internal control policies and procedures for the effective

management of BEC risks, and ensure that adequate resources for such control

functions are allocated and proper checks and balances are in place.

LCs should provide regular training to staff to enhance their vigilance in

watching out for email scams and ensure that they understand the appropriate

handling procedures. LCs’ staff should carefully examine email addresses, prudently

verify the authenticity of requests, diligently investigate red flags and promptly
escalate issues according to internal protocols.

LCs are also advised to make reference to the SFC’s guidance on the control

measures and techniques for managing cybersecurity risks and guarding against email

scams.

https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/intermediaries/supervision/

doc?refNo=22EC25

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