to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management; (2
of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions
brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under
, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under specific laws or
management company, a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of securities and a securities company licensed to undertake securities
fund management company, a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of securities and a securities company licensed to undertake
management company, a private fund management company, a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of securities and a securities
securities business in the following categories: (1) mutual fund management; (2) private fund management; or (3) brokerage, dealing or underwriting, excluding brokerage, dealing or underwriting limited to debt
trading instrument from engaging in a transaction in the trading instrument or using the information to advise or otherwise advantage another person in transacting in the trading instrument. 4. GOVERNANCE