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- 约4.19千字
- 约 16页
- 2026-07-09 发布于北京
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AF55112019byProfessorCKCHOComplianceChecklistForPersonslicensedorregisteredwithSFC
Step1:HaveIobtainedavalidlicencetoengageinoneormoreofthe12regulatedactivitiesregulatedunderSFO?
RegulatedactivitiesSchedule5SFOType1DealinginsecuritiesType2DealinginfuturescontractsType3LeveragedforeignexchangetradingType4AdvisingonsecuritiesType5AdvisingonfuturescontractsType6AdvisingoncorporatefinanceType7ProvidingautomatedtradingservicesType8SecuritiesmarginfinancingType9AssetmanagementType10ProvidingcreditratingservicesType11dealin
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