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Securities and futures (associated entities - notice) rules
Securities and Futures (Licensing And Registration) WebLegCo brief conduct investigations in relation to, among others, the regulated activities of RIs.
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SECURITIES AND FUTURES ACT (CAP. 289)
Jun 4, 2012 A holder of a CMS licence or exempt FI shall not allow its specific representatives who are subject to the examination requirements to commence.
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15 U.S. Code 78o - Registration and regulation of brokers
Notwithstanding paragraphs (1) and (2), a broker or dealer required to register only because it effects transactions in security futures products on an exchange
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