Governance Infrastructure
Comprehensive documentation and regulatory guidance for deploying autonomous financial agents
Hong Kong Regulatory Compliance
SFC Algorithmic Trading Guidelines
SFC (Securities and Futures Commission)
The SFC requires licensed corporations using algorithmic trading to implement risk controls, conduct regular testing, and maintain proper governance. Systems must have pre-trade checks, circuit breakers, and comprehensive audit trails.
Framework
SFC Algorithmic Trading Guidelines
Requirements
6 Key Areas
Kuneo Solutions
4 Compliance Tools
What SFC (Securities and Futures Commission) expects from financial AI systems operating in Hong Kong.
Risk Management Framework
Comprehensive risk controls including position limits, credit checks, and market impact analysis.
System Testing
Regular testing in non-production environments with documented test results and issue resolution.
Pre-Trade Controls
Automated checks for order validity, price limits, and regulatory compliance before execution.
Circuit Breakers
Automatic suspension of trading when pre-defined risk thresholds are breached.
Governance Structure
Clear lines of responsibility with senior management oversight and escalation procedures.
Audit Trail Requirements
Complete logging of all orders, modifications, and system changes with regulatory retention periods.
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