Proprietary trading SFC：SFO_FRR_Template
SFO_FRR_Template
Items22-29—36,Note2:Pleasedescribethelicensedcorporation'sproprietaryderivativetradingactivitiesundereachbroadcategoryofexposures(i.e. ...。其他文章還包含有：「1GUIDANCENOTEONPOSITIONLIMITSANDLARGE...」、「CodeofConductforPersonsLicensed」、「ConsultationConclusionsontheSecuritiesandFutures(...」、「CONTROLANDRISKMANAGEMENTQUESTIONNAIRE」、「DefinitionsandInterpretation」、「Doyouneedalicenceo...
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1 GUIDANCE NOTE ON POSITION LIMITS AND LARGE ...
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Example 1: Assume a firm's proprietary trading desk has a position of HSI futures contracts equivalent to. 9,000 position delta, and that its sales desk wants ...
Code of Conduct for Persons Licensed
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[email protected]. SFC website ... In dealing or trading for its clients in securities, futures contracts or ... (ii) proprietary trading or market making; or.
Consultation Conclusions on the Securities and Futures ( ...
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It was suggested that the exemption should be given to all proprietary trades of exchange participants. 14. The SFC takes the view that market makers have a ...
CONTROL AND RISK MANAGEMENT QUESTIONNAIRE
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Does the Licensed Corporation have information available for the management to monitor the following areas of its proprietary trading? (i) profit and loss. (ii).
Definitions and Interpretation
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a securities order through a securities trading account with a Relevant. Regulated Intermediary. Where the order is a proprietary trade, the Relevant.
Do you need a licence or registration?
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Types of regulated activity · Type 1 Dealing in securities · Type 2 Dealing in futures contracts · Type 3 Leveraged foreign exchange trading · Type ...
management
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Where the firm carries out proprietary trading, appropriate trading limits and position limits are established and monitored at appropriate intervals.
Proprietary Trading: What It Is
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Proprietary trading refers to a financial institution using its own capital, rather than client funds, to conduct financial transactions.
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Merrill Lynch International proprietary trading group; Bank of America, National Association; Merrill Lynch Far East Limited; Merrill Lynch Canada Inc ...