InSingapore, accredited/institutional investors as defined in Section 4A of the Securities and Futures Act, Chapter 289 of Singapore. InHong Kong, Professional Investors (as defined in the Securities and Futures Ordinance (Cap.571 of the laws of Hong Kong) and any rules made under that ordinance...
Ashley Alder is the Chair of the FCA Board since February 2023. He was previously the CEO of the Securities and Futures Commission (SFC) in Hong Kong and Chair of the Board of the International Organization of Securities Commissions (IOSCO).4 What Is the FCA's Warning List? The FCA's wa...
2.Fund management company registered under paragraph 5(1)(i) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg. 10) (“SF(LCB)R”)(基于证券及期货规例(Rg. 10) (“SF(LCB)R”)附表2中的5(1)(i)内容注册的基金管理公司); 3.Person ex...
FINANCIAL INFORMATION FORUMVERSION 3.0 JUNE 2001PAGE 1 of 7In 1974, Congress expanded the definition of a "commodity" creating a conflict of jurisdictions for the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). The two organizations reached a political ...
Regarding the Asia-Pacific region, it’s important to discuss the current regulatory framework in Singapore and Hong Kong. Singapore regulators focus on the following assets: A commodity under the Commodity Trading Act (CTA); A capital markets product under the Securities and Futures Act (SFA); ...
On the afternoon of August 19th, the securities and Futures Commission issued the "trial and Approval Measures for supervision and management of refinancing business" and made public comments. The draft stipulates the responsibilities and organizational structure of securities finance companies, refinancing...
If an existing customer has already signed a risk document, they will have to sign the parallel single stock futures risk document. The National Futures Association, National Association of Securities Dealers, SEC, and CTFC are jointly working on a new risk document modeled after the Options ...
FINANCIAL INFORMATION FORUMVERSION 3.0 JUNE 2001PAGE 1 of 7In 1974, Congress expanded the definition of a "commodity" creating a conflict of jurisdictions for the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). The two organizations reached a political compr...
Related to Securities Exchanges:Stock exchanges,Commodities exchanges,Derivatives exchanges,Futures exchanges stock exchange n. 1.A place or system in which stocks, bonds, or other securities are bought and sold. 2.An association of stockbrokers who meet to buy and sell stocks and bonds according ...
Tiger Brokers (Singapore) Pte Ltd (“TBSPL”) is licensed by the Monetary Authority of Singapore (“MAS”) under the Securities and Futures Act (“SFA”). This advertisement has not been reviewed by the Monetary Authority of Singapore. ...