With evolving regulatory expectations around market soundings, financial firms must ensure they have the right policies, processes, and technology in place to remain compliant.
As new guidance, such as the Hong Kong Securities and Futures Commission (SFC) Market Sounding Guidelines comes into effect, firms now must assess their internal controls to avoid risk of non-compliance.
Access your on-demand webinar for an in-depth overview of:
- The differences and similarities between the SFC's guidelines and other global regulators.
- How obligations impact both buy and sell sides.
- The importance of internal controls, documentation, and risk management.
- Best practices for managing market sounding information and monitoring MNPI, employee trading, and upcoming regulatory changes.
- Leveraging technology to streamline sensitive information management, employee trade surveillance, and regulatory developments.
Join our expert panelists:
