concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
Offering for Sale of Units of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company licensed to undertake the securities business in the category of securities brokerage
Offering for Sale of Units of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company licensed to undertake the securities business in the category of securities brokerage
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
e-service Online Submission See canceled document Securities Brokerage Business >> Compliance / Internal Control Type Title Section See Document Status Notified Date Effective Date 1. Notification
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives