Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
Published Date: 08 October 2018
Securities and Futures (Amendment) Act 2017 (Saving and Transitional Provisions for Holders of Capital Markets Services Licence and Representatives) Regulations 2018
Sets out the saving and transitional provisions for certain applications, notifications, arrangements and exemptions in relation to the amendments made to the SFA.
- Licensing, Authorisation and Registration
- Record Keeping
- Customer Monies and Assets Segregation
- Advisory and Sales
- Key Appointments
- Corporate Governance
- Fit and Proper Criteria
- Appointment of Auditors
- Financial Returns
- Security Deposit and PII
Applies to: Exempt Corporate Finance Adviser Serving Accredited Investors , Exempt Futures Broker , Exempt OTC Derivatives Broker , Dealing in Capital Markets Products , Product Financing , Providing Custodial Services , Corporate Finance Advisory , Licensed Fund Management Company , Registered Fund Management Company , REIT Management , Venture Capital Fund Management Company , Credit Rating Agency , Securities Crowdfunding , Exempt Capital Markets Services Entity