Web47B.—. (1) Subject to paragraph (3), the holder of a capital markets services licence to deal in capital markets products shall not, as principal, enter into any transaction of sale or purchase of any specified product with any customer who is not the holder of a capital markets services licence to deal in capital markets products unless the ... WebMoney received on account of customer. 16.—. (1) The holder of a capital markets services licence —. ( a) shall treat and deal with all moneys received on account of its customer as belonging to that customer; ( b) must, where the holder is a member of an approved clearing house or a recognised clearing house —.

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WebDuties of holder of capital markets services licence. 13. The holder of a capital markets services licence shall —. ( a) comply with all laws and rules governing the holder’s operations; and. ( b) in a manner that is commensurate with the nature, scale and complexity of the business of the holder —. (i) WebWilly is the Founding Partner of Capitale Ventures. Capitale Ventures holds a Capital Markets Services (CMS) licence (Venture Capital Fund … overnight jobs in chicago

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WebNov 4, 2024 · When granted, the CMS license will allow HashKey Capital Singapore to conduct fund management services from Singapore. HashKey Capital Singapore, part of HashKey Capital, prides itself as a ... WebMar 29, 2024 · MASNET is a closed communication network system operated by the Authority which a capital markets services licensee, a financial institution exempt from holding capital markets services licence under section 99(1)(a), (b), (c) or (d) of the SFA, a licensed financial adviser or an exempt financial adviser under section 23(1)(a), (b), (c), … WebMar 10, 2011 · Thirty-nine-plus years of experience working in turnaround, capital restructuring, corporate finance, credit and capital markets … overnight jobs in dc