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.
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.