Regulations
Securities and Futures (Classes of Investors) Regulations 2018
Prescribes additional persons as accredited investors (e.g. partnership where each partner is an accredited investor) and institutional investors (e.g., designated market-maker and registered fund management company) for the purpose of the SFA.
Applies to:
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
,
Exempt Corporate Finance Adviser Serving Accredited Investors
,
Exempt Futures Broker
,
Exempt OTC Derivatives Broker
,
Markets and Exchanges
,
Clearing House
,
Members of Public
,
Foreign Fund Manager
,
Registered Business Trust
Related to this Item
-
FAQsLast Revised Date: 13 September 2023
FAQs on Licensing and Business Conduct (Other than for Fund Management Companies)
Provides guidance on • the scope of capital markets services licensing (other than for fund management companies) • appointment of representatives • business conduct rules • the application of the SFA and SF(LCB)R to banks, merchant banks, finance companies and insurers.
-
RegulationsLast Revised Date: 01 June 2022
Financial Advisers (Complaints Handling and Resolution) Regulations 2021
Sets out requirements for financial advisory firms to exercise management oversight and establish policies and procedures for handling and resolving complaints independently and promptly.
-
RegulationsLast Revised Date: 08 October 2018
Securities and Futures (Licensing And Conduct Of Business) Regulations
Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.