Securities and Futures (Licensing And Conduct Of 2025

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  1. Click ‘Get Form’ to open the Securities and Futures (Licensing And Conduct Of document in the editor.
  2. Begin by filling in the required fields marked with an asterisk (*), such as the Name of Company, Company Registration Number (UEN), and Financial Year Ended date.
  3. In Section 1, select the type of company you are declaring—either Registered Fund Management Company or Venture Capital Fund Manager.
  4. Proceed to Section 2.1 to provide details on Total Assets Under Management (AUM). Ensure you break down AUM by clientele type and fund type as specified.
  5. In Section 2.2, indicate the nature of fund management activities your company engages in by selecting from the provided options.
  6. Complete Section 3 by entering your name, identification number, and signing off as a director. Ensure all declarations are accurate before submission.
  7. Once completed, log into your MASNET account to submit the form electronically. An internet connection is required for this step.

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The Securities Act of 1933 (as amended, the Securities Act) was passed to ensure that investors have financial and other important information about securities that are being sold publicly. It also bans the use of fraud, deceit, and misrepresentation in the sales of securities.
The SFC is responsible for fostering an orderly securities and futures markets, to protect investors and to help promote Hong Kong as an international financial centre and a key financial market in China.
CFTC-Regulated Broad-Based Security Index Futures The offer and sale of futures contracts (and options thereon) on broad-based security indices in the United States are regulated exclusively by the Commodity Futures Trading Commission (CFTC).
Governs the regulation of activities and institutions in the securities and derivatives industry, including leveraged foreign exchange trading of financial benchmarks and of clearing facilities.
The Securities Act serves the dual purpose of ensuring that issuers selling securities to the public disclose material information, and that any securities transactions are not based on fraudulent information or practices.
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Regulation 47E(1) of the SFR provide for certain risk disclosure requirements that a bank that deals in capital markets products must comply with in relation to trading in futures contracts, spot foreign exchange contracts for the purposes of leveraged foreign exchange trading, and foreign exchange over-the-counter
An Ordinance to consolidate and amend the law relating to financial products, the securities and futures market and the securities and futures industry, the regulation of activities and other matters connected with financial products, the securities and futures market and the securities and futures industry, the

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