Notices
 Last Revised Date: 05 October 2018

Notice SFA 04-N08 Persons Exempted Under Reg 2(2) of the Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations (Rg 11) from the Requirement under Section 82(1) of the Securities and Futures Act (Cap. 289) to Hold a Capital Markets Services Licence for the Regulated Activity of Trading in Futures Contracts and Representatives of Such Persons

Requirements for exempt persons and representatives of such persons for the trading of futures contracts in the form of structured warrants.
Issued pursuant to:

Securities and Futures Act (Cap. 289) section 101

View Notice Notice SFA 04-N08 Persons Exempted Under Reg 2(2) of the Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations (Rg 11) from the Requirement under Section 82(1) of the Securities and Futures Act (Cap. 289) to Hold a Capital Markets Services Licence for the Regulated Activity of Trading in Futures Contracts and Representatives of Such Persons (106.9 KB)

This notice applies to all persons exempted under regulation 2(2) of the Securities and Futures (Exemption from Requirement to hold Capital Markets Services Licence) Regulations (Rg. 11) from the requirement to hold a capital markets services licence for trading in futures contracts and representatives of such persons.

It sets out requirements for:

  • Representatives of an exempt person
  • Risk disclosure
  • Conduct of business
  • Disclosure of interests

Amendment Notes

16 Feb 2009
SFA 04-N08 (Amendment) 2009 takes effect.