| Type 1 |
Dealing in securities |
- Trading /broking stock options for clients
- Trading bonds for clients
- Buying / selling mutual funds and unit trusts for clients
- Placing and underwriting of securities
|
| Type 2 |
Dealing in futures contracts |
- Trading / broking index or commodities futures for clients
- Buying / selling futures contracts for clients
|
| Type 3 |
Leveraged foreign exchange trading |
- Buying / selling foreign exchange for clients on a margin basis
|
| Type 4 |
Advising on securities |
- Giving investment advice to clients relating to the sale / purchase of securities
- Issuing research reports / analyses on securities
|
| Type 5 |
Advising on futures contracts |
- Giving investment advice to clients relating to the sale / purchase of futures contracts
- Issuing research reports on futures contracts
|
| Type 6 |
Advising on corporate finance |
- Acting as sponsor for listing applicant in an intiial public offering
- Advising on the Codes on Takeovers and Mergers and Shares Repurchases
- Advising listed companies on compliance of Listing Rules
|
| Type 7 |
Providing automated trading services |
- Operating an electronic trading platform for matching client orders
|
| Type 8 |
Securities margin financing |
- Providing financing to clients for their purchase of stocks in return for clients?stocks as collaterals
|
| Type 9 |
Asset management |
- Managing a portfolio of securities or futures contracts for clients on discretionary basis
- Managing funds on discretionary basis
|
| Type 10 |
Providing credit rating services |
- Preparing reports on the credit worthiness of companies, bonds and sovereigns
|
