Surveillance SFC,大家都在找解答。第1頁
1999年7月6日—Usingrealtimetradinginformation,SMARTScanbeprogrammedtoprovidealertsaboutunusualdailyandintra-daymovementsinthepriceand/or ...,Toassesswhetherclientsweretreatedfairly,thetradesurveillanceteamreviewedalltradesswitchedfromtheagencydeskswhichgeneratedprofitsforthe ...
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A New Surveillance System at the SFC and the Exchange | Surveillance SFC
1999年7月6日 — Using real time trading information, SMARTS can be programmed to provide alerts about unusual daily and intra-day movements in the price and/or ... Read More
Appendix | Surveillance SFC
To assess whether clients were treated fairly, the trade surveillance team reviewed all trades switched from the agency desks which generated profits for the ... Read More
Appendix | Surveillance SFC
Trade surveillance alerts. 5. To conduct proactive client facilitation4, LCs built positions in anticipation of future client orders. Some LCs imposed risk limits to ... Read More
Applications | Surveillance SFC
In the tactical sector, SFC fuel cells are used for example as on-board power supply in military vehicles. They can be used as remote power supply for mobile ... Read More
Assistant Manager - Enforcement (Surveillance | Surveillance SFC
Assistant Manager - Enforcement (Surveillance - Market Misconduct Team). Ref.: SFC/AM/ENF/SUR/200529. You will be part of the team ... Read More
Assistant Manager | Surveillance SFC
Assistant Manager - Enforcement (Surveillance). Ref.: SFC/AM/ENF/SUR/190705. You will be part of the team responsible for the market ... Read More
Breaking Down Trade Surveillance Requirements for ... | Surveillance SFC
2021年8月9日 — The SFC in 2019 issued a Position Paper, “Regulation of virtual asset trading platforms,” which outlined an opt-in for exchanges wishing to ... Read More
Consultation Paper on Draft Guidelines for the Regulation of ... | Surveillance SFC
Surveillance of ATS activity should be performed by the ATS provider, a regulatory authority (including potentially the SFC), or another. Read More
Enforcement (Surveillance | Surveillance SFC
2020年5月29日 — Ref.: SFC/AM/ENF/SUR/200529. You will be part of the team responsible for the market surveillance functions of the Commission which include:. Read More
Enforcement | Surveillance SFC
Our surveillance, inspection and disciplinary work extends beyond listed companies and licensees to market participants, including investors. Read More
Guidelines for Reducing and Mitigating Hacking Risks ... | Surveillance SFC
Protection of clients' internet trading accounts. 2. 2. Infrastructure security management. 3. 3. Cybersecurity management and supervision. Read More
Hong Kong Securities And Futures Commission ... | Surveillance SFC
2023年8月22日 — The Securities and Futures Commission (SFC) has reprimanded and fined China Industrial Securities International Brokerage Limited (China ... Read More
Key observations by the Securities and Futures Commission | Surveillance SFC
This annex shares the key observations from the thematic review conducted by the. Securities and Futures Commission (SFC) of spread charges and other practices ... Read More
LABS Security Token | Surveillance SFC
2021年8月30日 — Copyright 2020 Securities and Futures Commission. All rights reserved. Good MPF Employer Manpower Developer Award Caring Organisation. We use ... Read More
Local | Surveillance SFC
Manager - Enforcement (Surveillance) | Surveillance SFC
Manager - Enforcement (Surveillance). REF: SFC/MGR/ENF/SUR/180112. Responsibilities: To be directly responsible for the market ... Read More
Market Surveillance after Financial Crisis | Surveillance SFC
On 21 July, SFC Executive Director of Enforcement, Mr Mark Dickens, said at a media gathering that the SFC and the Stock Exchange of Hong ... Read More
Products | Surveillance SFC
SFC Energy AG is a leading provider of direct methanol and hydrogen fuel cells for stationary and mobile hybrid power solutions and a sustainably profitable ... Read More
Regulatory tools | Surveillance SFC
2019年11月19日 — We use a set of assessment indicators to assess the financial risk exposure of licensed corporations. Monitoring tools to check or track ... Read More
Report on the SFC's review of global financial groups' ... | Surveillance SFC
2022年1月27日 — Post-trade surveillance: We noted deficiencies in some firms' surveillance processes for detecting irregularities and suspicious transactions. Read More
Senior Director – Enforcement (Surveillance) | Surveillance SFC
Senior Director – Enforcement (Surveillance). Ref.: SFC/SD/ENF/180706. Responsibilities: Reporting to the Executive Director, Enforcement, ... Read More
SFC | Surveillance SFC
Copyright 2020 Securities and Futures Commission. All rights reserved. Good MPF Employer Manpower Developer Award Caring Organisation. We use cookies to improve ... Read More
SFC Issues Fine for Trade Surveillance | Surveillance SFC
2023年8月23日 — SFC Issues Fine for Trade Surveillance, Record-keeping Failures ... Alert review records were missing for over 14,000 alerts. Client call records ... Read More
SFC Proposes Investor Surveillance | Surveillance SFC
2020年12月7日 — The SFC launched a consultation on the proposals last Friday with the intention of ramping up surveillance of markets and investors. Read More
The Hong Kong Securities and Futures Commission is ... | Surveillance SFC
2023年10月3日 — These red flags cut across three main areas of surveillance: trade surveillance; suitability surveillance; and KYC / AML surveillance, and ... Read More
主頁 | Surveillance SFC
The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Read More
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