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The Securities and Futures Commission (SFC) has published suggested controls for intermediaries using instant messaging (IM) applications in a circular of 4 May 2018.
The controls are aimed at addressing issues with IM services, such as safeguarding security and ensuring such communications are adequately recorded and monitored.
In short, the SFC expects intermediaries to:
Intermediaries may wish to review and enhance their current procedures, taking into account the controls measures suggested by the SFC as summarised below.
1. Centralised record keeping
2. Security and reliability
3. Compliance monitoring
4. Internal policies and procedures
5. Client awareness
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