WebFusion Bank. May 2024 - Present11 months. Hong Kong SAR. Achievements: • Succeed in supporting the Bank in acquiring the SFC Type 1 (Dealing in securities) and Type 4 (Advising on securities) licenses, Fusion Bank succeed in starting the Wealth Management Service since March 2024: - Familiar with the regulatory requirement on digital service ... WebThis website uses cookies. Analytical cookies help us improve our website by providing insight on how visitors interact with our site, and necessary cookies which the website …
Dealing in Securities Definition: 1k Samples Law Insider
WebSep 3, 2024 · SFC Type 1 License Dealing in Securities $5,000,000 (if no securities margin financing), or $10,000,000 (if securities margin financing) Note 1. SFC Type 2 … WebApr 6, 2024 · By type of relevant individual (must choose one) All. Executive Officer. Non-Executive Officer. ... Type 1. dealing in securities . Type 2. dealing in futures contracts . Type 4. advising on securities . Type 5. advising on futures contracts . Type 6. advising on corporate finance . Type 7. providing automated trading services . Type 9. blox fruit free scripts
Licensing Handbook - Securities & Futures Commission of Hong …
WebJan 22, 2024 · Licensing. Licensing. As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we: grant licences to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed under the Securities and Futures Ordinance; maintain a … WebFeb 9, 2024 · Type 1 regulated activity (dealing in securities) for marketing or distributing a fund or conducting any other securities dealing activities (e.g. deal negotiation and trade execution) for the fund; Type 4 regulated activity (advising on securities) for providing … Type 1 (dealing in securities) Type 2 (dealing in futures contracts) Type 4 … Type of change (relevant SFO section) Application fee. Remarks. Addition of … WebDealing in Securities means an act of subscribing to, buying, selling or agreeing to subscribe to, buy, sell or deal in the securities of the Company either as principal or … blox fruit free private server