Type 2 dealing in futures contracts

Put-call parity arbitrage II · Put-call parity clarification · Actual option quotes · Option expiration and price · Next lesson. Forward and futures contracts. Sort by:. Type 2: Dealing in futures contracts Trading / broking index or commodities futures for clients; Buying / selling futures contracts for clients; Type 3: Leveraged foreign exchange trading: Buying / selling foreign exchange for clients on a margin basis Type 4 Advising on securities In addition to Type 1 and/or Type 2 regulated activities (dealing in securities and/or dealing in futures contracts), does a corporation need to be licensed for Type 7 regulated activity (providing automated trading services) if it also provides trading services which merely route the trade orders placed by clients to the Exchanges for execution

A corporation licensed for Type 9 regulated activity does not need to be licensed for regulated activities Type 1 (dealing in securities) or Type 2 (dealing in futures contracts) provided that such activities are carried out solely for the purposes of its asset management business. The Securities and Futures Ordinance provides for the implementation of the single licensing regime with 10 types of regulated activity (RA). An individual will need one licence or registration to carry on different types of RA. Monex Boom Securities (H.K.) Limited is licensed by the Securities and Futures Commission (SFC) for Type 1 (dealing in securities), Type 2 (dealing in futures contracts) and Type 7 (providing automated trading services) regulated activity under CE Number AEF808. It is also an exchange participant of The Stock Exchange of Hong Kong (SEHK). Futures Contract Definition: A “Futures Contract is an agreement between two anonymous market participants”, a seller and a buyer. Here, the seller undertakes to deliver a standardized quantity of a particular financial instrument (or a commodity) at a certain price and a specified future date.

Type 2 Dealing in futures contracts. Trading/broking index or commodities futures for clients; Buying/selling futures contracts for clients. Type 3 Leveraged 

Type 2 (Dealing in Futures Contracts), Type 4 (Advising on Securities), Type 6 ( Advising on Corporate Finance) and Type 9 (Asset Management) activities. making MCM one of the leading integrated platforms of its kind in Hong Kong. to carry out Type 1 (dealing in securities), Type 2 (dealing in futures contracts)   those who relay or route Bitcoin Futures orders for Hong Kong investors, must therefore be licensed for Type 2 regulated activity (dealing in futures contracts),  and Futures Commission of Hong Kong SAR to carry on business in Type 2 ( dealing in futures contracts, subject to applicable Licence conditions) and Type 3   Type 1: Dealing in Securities Type 2: Dealing in Futures Contracts Type 3: Leveraged Foreign Exchange Trading Type 4: Advising on Securities Type 5:  and Futures Ordinance (Cap.571) for the purposes of carrying on the regulated activities of dealing in securities (Type 1), dealing in futures contracts (Type 2), 

You are licensed for Type 2 regulated activity (dealing in futures contracts) and you wish to carry out Type 5 (advising on futures contracts) and/or Type 9 (asset management) regulated activity. You do not need to be licensed for Types 5 and 9 provided that these activities are carried out wholly incidental to your futures dealing business.

Type 1: Dealing in Securities Type 2: Dealing in Futures Contracts Type 3: Leveraged Foreign Exchange Trading Type 4: Advising on Securities Type 5:  and Futures Ordinance (Cap.571) for the purposes of carrying on the regulated activities of dealing in securities (Type 1), dealing in futures contracts (Type 2),  to carry on Type 1 (Dealing in Securities), Type 2 (Dealing in Futures Contracts ), Type 4 (Advising on Securities) and Type 5 (Advising on Futures Contract)  Type 2 license for dealing in futures contracts, Type 4 license for advising on securities, Type 6 license for advising on corporate finance, a Type 9 license for 

KGI Futures (Hong Kong) Limited ("KGI") is a Futures Commission Merchant of HKFE and a Clearing Participant of HKFE Clearing Corporation Limited. KGI is licensed to conduct Type 2 (dealing in futures contracts) and Type 5 (advising on futures contracts) regulated activities under the SFO.

5 Jan 2020 2. FIMHK executed the trades without a Type 2 (dealing in futures contracts) licence. Under section 114 of the SFO, no person shall carry on  2017年1月18日 At present. the SFO proscribes 10 licence types: Type 1 – Dealing in securities. Type 2 – Dealing in futures contracts. Type 3 – Leveraged  Client, collective investment scheme, futures contract and securities have the Item 2 – Type 2: Dealing in futures contracts “Was your institution engaged in. Type 2 (Dealing in futures contracts) Type 3 (Leveraged foreign exchange trading) Type 4 (Advising on securities) Type 5 (Advising on futures contracts) Type  11 Jan 2018 Via the execution of transactions in offshore listed index options for clients without a Type 2 (dealing in futures contracts) registration, EFG Bank  Changjiang Futures (HK) Limited is licensed for regulated activity Type 2 (dealing in futures contracts) and Type 5 (advising on futures contracts) under the  571 of the Laws of Hong Kong) to carry out Type 1 (dealing in securities), Type 2 (dealing in futures contracts), and Type 4 (advising on securities) regulated 

In early 2018, the Securities and Future Commission (“SFC”) commenced its first regulatory action (ii) Type 2: Dealing in futures contracts;. (iii) Type 3: 

Type 1 (dealing in securities) and Type 2 (dealing in futures contracts) regulated activity both encompass “marketing” of securities (in the case of Type 1 activity)  16 Oct 2014 TYPE 2: DEALING IN FUTURES CONTRACTS. 'Dealing in futures contracts' means: making or offering to make an agreement with another  5 Jan 2020 2. FIMHK executed the trades without a Type 2 (dealing in futures contracts) licence. Under section 114 of the SFO, no person shall carry on  2017年1月18日 At present. the SFO proscribes 10 licence types: Type 1 – Dealing in securities. Type 2 – Dealing in futures contracts. Type 3 – Leveraged 

Type 2(dealing in futures contracts), Type 4 (advising on securities), Type 5 ( advising on futures contracts), Type 6 (advising on corporate finance), Type 9  10 Jan 2020 On 7 January 2020, the Securities and Futures Commission (SFC) Type 2 ( dealing in futures contracts), Type 4 (advising on securities) or  Type 2 (Dealing in Futures Contracts), Type 4 (Advising on Securities), Type 6 ( Advising on Corporate Finance) and Type 9 (Asset Management) activities. making MCM one of the leading integrated platforms of its kind in Hong Kong. to carry out Type 1 (dealing in securities), Type 2 (dealing in futures contracts)