Page 653 - 《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

1．Swiss-Asia is currently licensed under the Securities and Futures Ordinance
to carry on Type 4 (advising on securities) and Type 9 (asset management) regulated

activities.

2．General Principle 2 (Diligence) of the Code of Conduct for Persons Licensed

by or Registered with the Securities and Futures Commission (Code of Conduct)

requires a licensed person to act with due skill, care and diligence, in the best interests

of its clients and the integrity of the market.

3．Paragraph 4.3 (internal control, financial and operational resources) of the

Code of Conduct requires a licensed person to have internal control procedures and

financial and operational capabilities which can be reasonably expected to protect its

operations, its clients and other licensed or registered persons from financial loss

arising from theft, fraud, and other dishonest acts, professional misconduct or
omissions.

4．Paragraph 7.1(e) of the Code of Conduct requires a licensed person to

implement internal control procedures to ensure proper supervision of the operation of

discretionary accounts.

5．Paragraph 6 of Part IV of the Management, Supervision and Internal Control

Guidelines for Persons Licensed by or Registered with the SFC (Internal Control

Guidelines) provides that management should establish and maintain effective record

retention policies which ensure that all relevant legal and regulatory requirements are

complied with, and which enable the firm, its auditors, and other interested parties

such as the SFC to carry out routine and ad hoc comprehensive reviews or

investigations.

6．Paragraph 2 of Part VII of the Internal Control Guidelines provides, among

others, that where the firm exercises discretionary authority over a client’s account,

procedures should be used to ensure that only transactions which are consistent with
the investment strategies and objectives of the relevant client, are effected on the

client’s behalf.

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