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Keywords: Asset managers
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (1): 63–68.
Published: 08 May 2018
...Anne-Marie Godfrey Purpose To examine the nine common areas of non-compliance in managing investment funds and discretionary accounts, detailed in a Hong Kong Securities and Futures Commission (SFC) circular dated September 15, 2017, directed at SFC-licensed asset managers. Design/methodology...
