In December 2018, the Securities and Futures Commission (SFC) published a circular, a report and a self-assessment checklist in relation to its review of brokers’ internal controls for protection of client assets and supervision of account executives. The seminar will focus on discussing the findings from the review, regulatory concerns, expected standards of controls on these areas and certain good practices. The speakers will also share some past cases where control deficiencies in brokers had jeopardised client interests.