Sfc providing automated trading services
The Securities and Futures Commission (“SFC”) introduced 2 new regulated activities, The provision of compression service serves to reduce both the counterparty services will not be exempt from the scope of automated trading services. 8 Feb 2018 (advising on securities) and Type 7 (providing automated trading services) regulated activities. CSAG is registered to carry on business in Type 22 Jul 2018 SFC reprimands and fines Citigroup Global Markets Asia Limited $4 corporate finance) and Type 7 (providing automated trading services). 27 Mar 2013 The Hong Kong SFC's consultation conclusions on the regulation of draw a distinction between simple or complex automated trading processes and strategies. intermediary's DMA services, and said that appropriate due diligence pre-trade controls, especially because they may not provide for every 1 Nov 2015 and Futures Commission (the SFC) from time to time, are critical business functions for Type 7 - Providing automated trading services.
SFC Licensing Consultancy Interested Regulated Activities What types of SFC Regulated Activities would be Type 7: Providing automated trading services.
Futures Commission (SFC) for Type 1 (dealing in securities), Type 2 (dealing in futures contracts) and Type 7 (providing automated trading services) regulated 22 Nov 2019 for licensed security brokers and automated trading venues, adapted to deal In Hong Kong, the SFC is principally mandated to regulate "Centralised platforms" are platforms that provide trading, clearing and settlement services, and It stated that any trading platforms offering virtual assets which are (SFC) in Hong Kong as a provider of an automated trading service. Tradeweb Japan KK (“Tradeweb Japan”) is regulated by the Financial Services Agency 6 Nov 2018 Platforms which facilitate trading of virtual assets (also known as digital However, the SFC has expressed concerns that some of the largest for authorization where a person provides an automated trading service (“ATS”). As a result, Hong Kong has become a key financial services center in Asia. and futures; securities margin financing; providing automated trading services; and asset by the Securities and Futures Commission SFC for that regulated activity. Code of Conduct for Persons Providing Credit Rating Services. CSRC. China Securities Both the Securities and Futures Commission (SFC) and the Hong operate an automated trading service (ATS) for trading in securities. The volume in
Type 7 (providing automated trading services) CSSHK Type 9 (asset management) CSHK, CSAG Summary of Facts 4. As a result of self-reports submitted by Credit Suisse to the SFC between January 2015 and September 2016, and a referral from The Stock Exchange of Hong Kong Limited (SEHK) in February 2016, the SFC had regulatory concerns in respect of:
8 hours ago of the SFC and require a licence for Type 1 (dealing in securities) and Type 7 ( providing automated trading services) regulated activities. 2 Dec 2019 The SFC will only accept licensing applications for Type 1 (dealing in securities) and Type 7 (providing automated trading services) regulated 21 Jan 2020 Provide trading, clearing and settlement services for virtual assets, and and Type 7 (providing automated trading services) regulated activities Circular “Code of Conduct for Persons Registered with the SFC” dated. 09.12.99;. Circular business of providing automated trading services (e.g. providing to 6 Nov 2019 this platform may apply for a license from the SFC for Types 1 (dealing in securities) and Type 7 (Providing automated trading services) CLSA Limited (“CLSA”) is licensed by the Securities and Futures Commission of Hong Kong (“SFC”) for Providing Automated Trading Services subject to the 13 Sep 2019 Hong Kong's Securities and Futures Commission (SFC) has banned Jacky Type 7 (providing automated trading services) regulated activities.
Annex E SFC's circular: “SFC Adopts a Prgamatic Approach to Licensing Fund. Managers” . Type 7: Providing Automated Trading Services. Type 8: Securities
IPL is licensed under the Securities and Futures Ordinance to carry on business in Type 1 (dealing in securities), Type 4 (advising on securities) and Type 7 (providing automated trading services) regulated activities. Code of Conduct for Persons Licensed by or Registered with the SFC (Code of Conduct). 1.8 A corporation that provides automated trading services (ATS) as defined in Schedule 5 to the Securities and Futures Ordinance (SFO) may either be authorized to provide ATS under Part III of the SFO or licensed under Part V of the SFO. If the corporation is licensed for Type 1 and/or Type 2 The SFC will only accept licensing applications for Type 1 (dealing in securities) and Type 7 (providing automated trading services) regulated activities from platform operators which provide trading, clearing and settlement services for virtual assets (including those which are "securities"), and have control over investors’ assets. “The SFC seeks to impose a uniform set of requirements set out in the ‘Code of Conduct for Persons Licensed by or Registered with the SFC’ which all ALP operators and Managing challenges in automated trading services Regulatory updates and control framework ; The SFC will not accept licensing applications from (i) platforms which only provide a direct peer-to-peer marketplace for investors who retain control over their own assets (whether it be fiat currencies or virtual assets) or (ii) platforms which trade virtual assets for clients (including order routing) but do not provide automated trading services themselves. SFC Service tracking, trackingmore provide SFC Service API, shipment batch tracking management and an option to receive automated notification. SFC Service Tracking Details TrackingMore is a third party parcel tracking tool (also known as multi-carrier tracking tool) which supports online parcel tracking of worldwide 477 express and postal couriers.
Candidates are advised to refer to the latest information available on the SFC's website. Type 3 RA (Leveraged Foreign Exchange Trading) is not included in the above table since the HKSI Institute does not offer any examination papers on this RA. There is no competence requirement for Type 7 RA (Providing Automated Trading Services).
Find out how to obtain a Hong Kong Financial Services business license and get your securities margin financing; providing automated trading services; and asset activities by the Securities and Futures Commission (SFC) of Hong Kong: . The Securities and Futures Commission (SFC) has been pursuing initiatives to facilitate Type 7: providing automated trading services; h. Type 8: securities Futures Commission (SFC) for Type 1 (dealing in securities), Type 2 (dealing in futures contracts) and Type 7 (providing automated trading services) regulated
6 Nov 2019 this platform may apply for a license from the SFC for Types 1 (dealing in securities) and Type 7 (Providing automated trading services) CLSA Limited (“CLSA”) is licensed by the Securities and Futures Commission of Hong Kong (“SFC”) for Providing Automated Trading Services subject to the 13 Sep 2019 Hong Kong's Securities and Futures Commission (SFC) has banned Jacky Type 7 (providing automated trading services) regulated activities. SFC Licensing Consultancy Interested Regulated Activities What types of SFC Regulated Activities would be Type 7: Providing automated trading services. 7 Nov 2019 The framework involves the granting of a licence for Type 1 (dealing in securities) and Type 7 (providing automated trading services) regulated 30 Jul 2018 Type 7 : providing automated trading services; who provides a service of managing a portfolio of futures contracts under a collective Find out how to obtain a Hong Kong Financial Services business license and get your securities margin financing; providing automated trading services; and asset activities by the Securities and Futures Commission (SFC) of Hong Kong: .