In-Network Mobile recording

In-Network Mobile recording

The Securities and Futures Commission of Hong Kong (SFC)

The Securities and Futures Commission of Hong Kong (SFC) strives to strengthen and protect the integrity and soundness of Hong Kong’s securities and futures markets for the benefit of investors and the industry.

Highlights:

  • Telephone recordings need to be kept for a minimum of three months. However, when a licensed or registered person is aware of any complaint, inquiry or investigation regarding particular telephone trade orders, it should retain the related telephone recordings until the case has been completed.
  • Failing to retain telephone recordings related to an on-going complaint, inquiry or investigation would fall short of the standards of internal controls required of licensed or registered persons.

Useful links

SFC Regulatory functions

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