Dealing in futures contracts sfo

conduct the proposed regulated activities. RAs are defined in the SFO and comprise the following 12 types of regulated activities: Type of Regulated Activities Type 1 Dealing in securities Type 2 Dealing in futures contracts Type 3 Leveraged foreign exchange trading Type 4 Advising on securities Type 5 Advising on futures contracts

futures contracts) agreeing to allow the Client identified in the Account DEALING. 3.1. Subject to the provisions of the SFO and any applicable law and  3 Dec 2019 Section 114(1) of the Securities and Futures Ordinance (SFO) The trading of financial instruments that are not “securities” or “futures contracts,” or are Firms that deal in, advise on or manage a portfolio of the shares or  Under the SFO, 'market misconduct' includes six offences: insider dealing, or misleading appearance (1) of active trading in securities or futures contracts;  20 Jan 2020 It is a criminal offence under the SFO for an unlicensed person to carry as Type 1 (dealing in securities), Type 2 (dealing in futures contracts),  in securities), Type 2 (dealing in futures contracts) and Type 4 (advising on securities) regulated activities under the Securities and Futures Ordinance (SFO). 9 Nov 2005 futures contracts” and “advising on securities” so that the giving of advice by being regulated under the SFO, if their dealings in securities are.

Transitional arrangement (Schedule 10 to the Securities and Futures Ordinance) 1.3.1. Existing registered persons would be allowed two years to migrate to the new regime, following enactment of the SFO. The deeming provisions in respect of Part V of Schedule 10 provide that existing corporations would become deemed licensed corporations; the existing representatives/dealing directors would become deemed licensed representatives/deemed responsible officers; the existing sole proprietorships

30 Dec 2019 The Type 2 licence is used for dealing in futures contracts, oversees trading or broking and buying and selling contracts for clients. The asset  571 of the Laws of Hong Kong) (SFO) which charges it with and the issuance of analysis or reports on securities and futures contracts are Relations between SFC and the HKEx are dealt with under Principle 9 and Principles 32–36. definition of ATS in Schedule 5 to the SFO. If an intermediary or a licence applicant wishes to conduct dealing activities in the form of orders routing In addition to Type 1 and/or Type 2 regulated activities (dealing in securities and/or dealing in futures contracts), does a corporation need to be licensed for Type 7 regulated activity In relation to dealing in futures contracts. you as principal carry out the dealing activity concerned in relation to a futures contract traded other than on a recognized futures market as defined in Schedule 1 of the SFO by way of dealing with a person who is a professional investor (whether acting as principal or agent); or The Securities and Futures Commission (Commission or SFC) proposes certain amendments to the definition of “dealing in futures contracts” under Part 2 of Schedule 5 to the Securities and Futures Ordinance, Cap. 571 (SFO). Market participants and interested parties are invited to submit written comments on the

Commodity Futures Contract: A commodity futures contract is an agreement to buy or sell a predetermined amount of a commodity at a specific price on a specific date in the future. Buyers use such

22 Dec 2017 Following the launch of the Securities and Futures Commission's (the “SFC”) under the SFO, i.e. start-up firms seeking to make use of the Sandbox but are 1 Dealing in securities, Dealing in futures contracts, Leveraged 

1 Feb 2018 The SFO prohibits certain activities by way of criminal sanctions. of securities, or the price for dealings in futures contracts (section 298, SFO).

1 Feb 2018 The SFO prohibits certain activities by way of criminal sanctions. of securities, or the price for dealings in futures contracts (section 298, SFO). 30 Dec 2019 The Type 2 licence is used for dealing in futures contracts, oversees trading or broking and buying and selling contracts for clients. The asset  571 of the Laws of Hong Kong) (SFO) which charges it with and the issuance of analysis or reports on securities and futures contracts are Relations between SFC and the HKEx are dealt with under Principle 9 and Principles 32–36. definition of ATS in Schedule 5 to the SFO. If an intermediary or a licence applicant wishes to conduct dealing activities in the form of orders routing In addition to Type 1 and/or Type 2 regulated activities (dealing in securities and/or dealing in futures contracts), does a corporation need to be licensed for Type 7 regulated activity In relation to dealing in futures contracts. you as principal carry out the dealing activity concerned in relation to a futures contract traded other than on a recognized futures market as defined in Schedule 1 of the SFO by way of dealing with a person who is a professional investor (whether acting as principal or agent); or The Securities and Futures Commission (Commission or SFC) proposes certain amendments to the definition of “dealing in futures contracts” under Part 2 of Schedule 5 to the Securities and Futures Ordinance, Cap. 571 (SFO). Market participants and interested parties are invited to submit written comments on the 1 FIMHK has been licensed under the SFO to carry on Type 1 (dealing in securities), Type 4 (advising on securities), Type 5 (advising on futures contracts) and Type 9 (asset management) regulated activities since 29 March 2005. It has also been licensed to carry on Type 2 (dealing in futures contracts) regulated activity since 30 May 2019.

A corporation licensed for Type 9 regulated activity does not need to be licensed for regulated activities Type 1 (dealing in securities) or Type 2 (dealing in futures contracts) provided that such activities are carried out solely for the purposes of its asset management business. This exemption is normally available to fund managers who place trade orders to dealers in the course of managing their clients’ securities or futures contracts portfolios.

18 Mar 2016 At present. the SFO proscribes 10 licence types: Type 1 – Dealing in securities. Type 2 – Dealing in futures contracts. Type 3 – Leveraged  18 Nov 2019 Hong Kong's Securities and Futures Commission issued a position paper to may apply for a license covering Type 1 (dealing in securities) and Type 7 may be considered “futures contracts” under the SFO and any person  the Securities and Futures Ordinance (SFO), eg dealing in or advising on securities and futures contracts. For your benefits, when you choose an intermediary  futures contracts) agreeing to allow the Client identified in the Account DEALING. 3.1. Subject to the provisions of the SFO and any applicable law and  3 Dec 2019 Section 114(1) of the Securities and Futures Ordinance (SFO) The trading of financial instruments that are not “securities” or “futures contracts,” or are Firms that deal in, advise on or manage a portfolio of the shares or  Under the SFO, 'market misconduct' includes six offences: insider dealing, or misleading appearance (1) of active trading in securities or futures contracts; 

In relation to dealing in futures contracts. you as principal carry out the dealing activity concerned in relation to a futures contract traded other than on a recognized futures market as defined in Schedule 1 of the SFO by way of dealing with a person who is a professional investor (whether acting as principal or agent); or The Securities and Futures Commission (Commission or SFC) proposes certain amendments to the definition of “dealing in futures contracts” under Part 2 of Schedule 5 to the Securities and Futures Ordinance, Cap. 571 (SFO). Market participants and interested parties are invited to submit written comments on the 1 FIMHK has been licensed under the SFO to carry on Type 1 (dealing in securities), Type 4 (advising on securities), Type 5 (advising on futures contracts) and Type 9 (asset management) regulated activities since 29 March 2005. It has also been licensed to carry on Type 2 (dealing in futures contracts) regulated activity since 30 May 2019.