Facebook page "Stocks you should know" : Unlicensed securities and derivatives business (Disclosure Date : 21/08/2025)

Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of

e-service Online Submission See canceled document Securities Brokerage Business >> Know Your Clients   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Securities Dealer Business >> Know Your Clients   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Derivatives Agent >> Know Your Clients   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

e-service Online Submission See canceled document Derivatives Dealer >> Know Your Clients   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

Companies | - |- Registered Companies | - |- Know Your Clients | - |- Risk Disclosure | - |- Books & Records Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control

Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of

| - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency | - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records

Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Dealing (Section 114) | - |- Dealer of capital market product denominated in foreign currency | - |- Know