Guidelines for Securities Margin Financing Activities

Guidelines for Securities Margin Financing Activities

Overview of the SFC’s Guidelines for Securities Margin Financing Activities and key implications for Securities Margin Financing brokers

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On 4 April 2019, the Securities and Futures Commission released a consultation conclusion paper on the Proposed Guidelines for Securities Margin Financing Activities (the Guidelines). This circular provides an overview of requirements under the Guidelines and explores key implications for securities margin financing (SMF) brokers, i.e. licensed corporations and licensed persons in Hong Kong carrying on SMF activities.

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