{"id":8019,"date":"2024-10-22T22:34:32","date_gmt":"2024-10-22T14:34:32","guid":{"rendered":"https:\/\/hkytl.com\/?p=8019"},"modified":"2024-11-26T17:00:01","modified_gmt":"2024-11-26T09:00:01","slug":"sfcs-continuous-efforts-to-ensure-asset-managers-compliance-with-regulations","status":"publish","type":"post","link":"https:\/\/hkytl.com\/cn\/2024\/10\/22\/sfcs-continuous-efforts-to-ensure-asset-managers-compliance-with-regulations\/","title":{"rendered":"\u8bc1\u76d1\u4f1a\u4e0d\u65ad\u52aa\u529b\u786e\u4fdd\u8d44\u4ea7\u7ba1\u7406\u516c\u53f8\u9075\u5b88\u6cd5\u89c4"},"content":{"rendered":"<div data-elementor-type=\"wp-post\" data-elementor-id=\"8019\" class=\"elementor elementor-8019\" data-elementor-settings=\"{&quot;ha_cmc_init_switcher&quot;:&quot;no&quot;}\" data-elementor-post-type=\"post\">\n\t\t\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-2d068eb4 elementor-section-boxed elementor-section-height-default 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\u6839\u636e\u8be5\u901a\u544a\uff0c\u8bc1\u76d1\u4f1a\u5df2\u5bf9\u82e5\u5e72\u4ece\u4e8b\u7ba1\u7406\u79c1\u4eba\u57fa\u91d1\u53ca\u5168\u6743\u59d4\u6258\u6237\u53e3\u7684\u6301\u724c\u6cd5\u56e2\uff08\u201c\u6301\u724c\u6cd5\u56e2\u201d\uff09\u8fdb\u884c\u76d1\u7ba1\u3002<b>\u8d44\u4ea7\u7ecf\u7406<\/b>\u201c\uff09\uff0c\u5e76\u53d1\u73b0\u4e86\u5404\u79cd\u4e0d\u8db3\u4e4b\u5904\u548c\u4e0d\u5408\u6807\u51c6\u7684\u884c\u4e3a\uff0c\u5305\u62ec\u8d44\u4ea7\u7ba1\u7406\u516c\u53f8\u6216\u5176\u9ad8\u7ea7\u7ba1\u7406\u5c42\u7f3a\u4e4f\u8bda\u4fe1\uff0c\u4ee5\u53ca\u9ad8\u7ea7\u7ba1\u7406\u5c42\u672a\u80fd\u63d0\u4f9b\u6709\u6548\u76d1\u7763\u3002\u8fd9\u4e9b\u7f3a\u9677\u548c\u4e0d\u5408\u6807\u51c6\u7684\u884c\u4e3a\u8fdd\u53cd\u4e86\u8d44\u4ea7\u7ba1\u7406\u516c\u53f8\u5728\u300a\u8d44\u4ea7\u7ba1\u7406\u516c\u53f8\u6cd5\u300b\u4e0b\u7684\u4e49\u52a1\u3002 <a href=\"https:\/\/www.sfc.hk\/-\/media\/EN\/assets\/components\/codes\/files-current\/web\/codes\/code-of-conduct-for-persons-licensed-by-or-registered-with-the-securities-and-futures-commission\/Code_of_conduct-Dec-2020_Eng.pdf\">\u300a\u8bc1\u5238\u53ca\u671f\u8d27\u4e8b\u52a1\u76d1\u5bdf\u59d4\u5458\u4f1a\u6301\u724c\u4eba\u6216\u6ce8\u518c\u4eba\u64cd\u5b88\u51c6\u5219\u300b<\/a> \uff08\u201c<b>\u300a\u64cd\u5b88\u5b88\u5219\u300b\uff09<\/b>\u201d), the <a href=\"https:\/\/www.sfc.hk\/-\/media\/EN\/assets\/components\/codes\/files-current\/web\/codes\/fund-manager-code-of-conduct\/Fund-Manager-Code-of-ConductEng-Oct-2024v5-RA13clean.pdf?rev=da0adcae85344e1296d257670cb70c72\">\u300a\u57fa\u91d1\u7ecf\u7406\u884c\u4e3a\u5b88\u5219\u300b<\/a> \uff08\u201dFMCC\u201c\uff09\u53ca <a href=\"https:\/\/www.sfc.hk\/-\/media\/EN\/assets\/components\/codes\/files-current\/web\/guidelines\/management-supervision-and-internal-control-gu\/management-supervision-and-internal-control-guidelines-for-persons-licensed.pdf\">\u8bc1\u5238\u53ca\u671f\u8d27\u4e8b\u52a1\u76d1\u5bdf\u59d4\u5458\u4f1a\u6301\u724c\u4eba\u6216\u6ce8\u518c\u4eba\u7684\u7ba1\u7406\u3001\u76d1\u7763\u53ca\u5185\u90e8\u76d1\u63a7\u6307\u5f15<\/a> 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sans-serif; font-size: 14px; font-style: normal; font-weight: 500;\"><span style=\"font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-variant-ligatures: normal; font-variant-caps: normal; font-weight: 500;\">\uff08\u7535\u90ae\uff1a <a href=\"mailto:tiffanylee@hkytl.com\">tiffanylee@hkytl.com<\/a> \u7535\u8bdd\uff1a+852 3468 7038\uff09<\/span><\/p><p style=\"font-variant-ligatures: normal; font-variant-caps: normal; font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-weight: 500;\"><em style=\"font-size: 14px; font-weight: 600;\">\u00a0<\/em><\/p><p style=\"font-variant-ligatures: normal; font-variant-caps: normal; font-family: Arial, sans-serif; font-size: 14px; font-style: normal; font-weight: 500;\"><em style=\"font-size: 14px; font-weight: 600;\">\u672c\u6587\u4e3a\u4ecb\u7ecd\u6027\u6587\u7ae0\u3002\u5176\u5185\u5bb9\u4ee5\u51fa\u7248\u65e5\u671f\u4e3a\u51c6\u3002 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