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.
Last Revised Date: 03 December 2021
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