Regulation 3

a bank;

a finance company licensed under section 6 of the Finance Companies Act 1967;

a merchant bank;

a designated financial holding company;

an approved exchange as defined in section 2(1) of the Securities and Futures Act 2001;

a recognised market operator as defined in section 2(1) of the Securities and Futures Act 2001;

a licensed trade repository as defined in section 2(1) of the Securities and Futures Act 2001;

a licensed foreign trade repository as defined in section 2(1) of the Securities and Futures Act 2001;

an approved clearing house as defined in section 2(1) of the Securities and Futures Act 2001;

a recognised clearing house as defined in section 2(1) of the Securities and Futures Act 2001;

an approved holding company as defined in section 2(1) of the Securities and Futures Act 2001;

an authorised benchmark administrator or exempt benchmark administrator as defined in section 2(1) of the Securities and Futures Act 2001;

an authorised benchmark submitter, a designated benchmark submitter or an exempt benchmark submitter as defined in section 2(1) of the Securities and Futures Act 2001;

the Depository as defined in section 81SF of the Securities and Futures Act 2001;

a holder of a capital markets services licence granted under section 86 of the Securities and Futures Act 2001;

a person who is exempt from the requirement to hold a capital markets services licence under the Securities and Futures Act 2001 to carry on business in any regulated activity specified in the Second Schedule to that Act;

a trustee for a collective investment scheme authorised under section 286 of the Securities and Futures Act 2001, that is approved under section 289 of that Act;

a licensed trust company licensed under section 5 of the Trust Companies Act 2005;

a financial adviser licensed under section 10 of the Financial Advisers Act 2001;

an exempt financial adviser under section 20(1) of the Financial Advisers Act 2001;

an authorised reinsurer as defined in section 2 of the Insurance Act 1966;

a member of Lloyd’s that is permitted to carry on any insurance business specified in the First Schedule to the Insurance (Lloyd’s Asia Scheme) Regulations (Rg 9) in accordance with regulation 3 of those Regulations;

an insurance agent or insurance broker registered or otherwise regulated under the Insurance Act 1966;

a licensed insurer;

an approved MAT insurer as defined in regulation 2(1) of the Insurance (Approved Marine, Aviation and Transit Insurers) Regulations (Rg 15);

an operator or a settlement institution of a designated payment system under the Payment Services Act 2019;