Capital Markets Intermediaries

Capital markets intermediaries are licensed and regulated under the Securities and Futures Act. They may provide the whole range of capital markets services as specified in the 2nd schedule of the Securities and Futures Act with the appropriate Capital Markets Services licence. Currently, these services or regulated activities include dealing in securities; trading in futures contracts; leveraged foreign exchange trading; advising on corporate finance; fund management; real estate investment trust management; securities financing; providing custodial services for securities; and providing credit rating services.

Individuals who are employed by the capital markets intermediaries to carry out such regulated activities are required to be representatives under the Securities and Futures Act.

For a list of capital market intermediaries, please refer to the Financial Institutions Directory.  

Last Modified on 09/05/2019