Securities and Futures (Licensing and Conduct of Business) Regulations · 2004 Revised Edition · Part V · Dealing in Government Securities
48. Compliance with Rules and Market Practices
Feedback & supportLast amended by an amending law of 2024. 2 amendments in all.
The following persons shall comply with the Rules and Market Practices when dealing in Government securities:
the holder of a capital markets services licence to deal in capital markets products;
a person exempted from holding a capital markets services licence under section 99 (1)(a), (b), (c) or (d) of the Act;
a person exempted from holding a capital markets services licence to deal in capital markets products under paragraph 2(1)(e) of the Second Schedule.
Where any provision of these Regulations conflicts with any provision set out in the Rules and Market Practices, the former shall prevail.
Subregulation 1
The following persons shall comply with the Rules and Market Practices when dealing in Government securities:
the holder of a capital markets services licence to deal in capital markets products;
a person exempted from holding a capital markets services licence under section 99 (1)(a), (b), (c) or (d) of the Act;
a person exempted from holding a capital markets services licence to deal in capital markets products under paragraph 2(1)(e) of the Second Schedule.
Subregulation 2
Where any provision of these Regulations conflicts with any provision set out in the Rules and Market Practices, the former shall prevail.