Dealing in Securities means an act of subscribing to, buying, selling or agreeing to subscribe to, buy, sell or deal in the securities of the Company either as principal or agent.
Dealing in Securities means an act of subscribing, buying, selling or agreeing to subscribe, buy, sell or deal in any securities by any person either as principal or agent;
Dealing in Securities means making or offering to make with any person, or inducing or attempting to induce any person to enter into or to offer to enter into—
Examples of Dealing in Securities in a sentence
The Group is licensed to undertake comprehensive regulated activities in Hong Kong and has obtained the following licences from the SFC: Type 1 (Dealing in Securities), Type 2 (Dealing in Futures Contracts), Type 4 (Advising on Securities), Type 5 (Advising on Futures Contracts), Type 6 (Advising on Corporate Finance) and Type 9 (Asset Management).
More Definitions of Dealing in Securities
Dealing in Securities means buying, selling or agreeing to subscribe, sell or deal in any securities either as principal or agent and includes exercising of options;
Dealing in Securities means subscribing, buying, selling or agreeing to subscribe, buy, sell or deal in any securities either as principal or agent.
Dealing in Securities means an act of subscribing, buying, selling or agreeing to subscribe, buy, sell or deal in the securities of the Associate by any person either as principal or agent.
Dealing in Securities means (whether as principal or agent) making or offering to make with any person, or inducing or attempting to induce any person to enter into or to offer to enter into any agreement for or with a view to acquiring, disposing of, subscribing for, or underwriting securities;
Dealing in Securities means an act of subscribing, buying, selling or agreeing to subscribe, buy, sell or otherwise deal in securities either as principal or agent.
Dealing in Securities means an act of subscribing to, buying, selling or agreeing
Dealing in Securities means doing any of the following things (whether as a principal or as an agent), that is, making or offering to make with any person or inducing or attempting to induce any person to enter into or offer to enter into any agreement for or with a view to acquiring, holding or disposing of securities or any other property or any agreement the purpose or pretended purpose of which is to secure a profit to any of the parties from the yield of securities or by reference to fluctuations in the value of securities;