Dealing in futures contracts sfo
12 Dec 2017 The regulator also moved to classify any operation dealing with bitcoin futures contracts as a “Type 2” regulated activity under SFO (Securities 7 Jun 2017 of and dealing in Securities and/or (ii) asset management services which "SFO" means the Securities and Futures Ordinance (Chapter 571 of 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 2 Jan 2014 571 of the Laws of Hong Kong) (the SFO) and its subsidary codes, 1 (dealing in securities), Type 2 (dealing in futures contracts), Type 4 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.
7 Jun 2017 of and dealing in Securities and/or (ii) asset management services which "SFO" means the Securities and Futures Ordinance (Chapter 571 of
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).
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
29 Nov 2013 SECTION 213 SFO? SECURITIES & FUTURES ORDINANCE. Heading: Injunctions price for dealings in futures contracts, in Hong Kong, IF. 12 Dec 2017 The regulator also moved to classify any operation dealing with bitcoin futures contracts as a “Type 2” regulated activity under SFO (Securities 7 Jun 2017 of and dealing in Securities and/or (ii) asset management services which "SFO" means the Securities and Futures Ordinance (Chapter 571 of 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 2 Jan 2014 571 of the Laws of Hong Kong) (the SFO) and its subsidary codes, 1 (dealing in securities), Type 2 (dealing in futures contracts), Type 4 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).
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
contract for a dealing in securities or futures contracts; and (c) one of the intermediaries has agreed in writing with the other intermediary to prepare and provide to the person a contract note or statement of account in accordance with these Rules, then that other intermediary is exempt from compliance with Futures Contract: A futures contract is a legal agreement, generally made on the trading floor of a futures exchange, to buy or sell a particular commodity or financial instrument at a 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 The Licensing Regime under The Securities and Futures Ordinance disclosure-interests-b, financial-securities-a, of the definition of ‘professional investor’ in Part 1 of Schedule 1 to the SFO (‘Schedule 1 professionals’) which is summarised at Annex A to this note. DEALING IN FUTURES CONTRACTS
licensed or registered, that is a contract (i) for a dealing in securities (except a market contract); or (ii) for a dealing in futures contracts (except a market contract); or (b) the regulated activity of leveraged foreign exchange trading for which the intermediary is licensed, that is a leveraged foreign exchange contract;
licensed or registered, that is a contract (i) for a dealing in securities (except a market contract); or (ii) for a dealing in futures contracts (except a market contract); or (b) the regulated activity of leveraged foreign exchange trading for which the intermediary is licensed, that is a leveraged foreign exchange contract; INSIDER DEALING UNDER THE SECURITIES AND FUTURES ORDINANCE INTRODUCTION The Securities and Futures Ordinance (“SFO”) which came into effect on 1 April 2003 establishes dual civil and criminal regimes (under Parts XIII and XIV respectively) in respect of all types of market misconduct. “'Market misconduct” as regulated under Parts XIII and Accordingly, parties carrying on a business in dealing in Bitcoin Futures, including those who relay or route Bitcoin Futures orders, are required to be licensed for Type 2 regulated activity (dealing in futures contracts) 1 under the SFO unless an exemption applies. transactions (whether or not any of them is a dealing in securities or futures) with the intention that, or being reckless as to whether, they create or maintain, or are likely to create or maintain, an artificial price for securities or futures contracts traded on an exchange or through an ATS in Hong Kong. 3. again, the same conduct but by a person in Hong Kong which has a similar effect on 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.
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;