Section 2: Reduction of Regulated Activity 2.1 Please the regulated activities you intend to cease. tick “” Proposed effective date Regulated activity (dd/mm/yyyy) Type 1 (dealing in securities) / / Type 2 (dealing in futures contracts) / / Type 3 (leveraged foreign exchange trading) / / (Not applicable to registered institutions) Type 4 (advising on securities) / / Type 5 (advising on futures contracts) / / Type 6 (advising on corporate finance) / / Type 7 (providing automated trading services) / / Type 8 (securities margin financing) / / (Not applicable to registered institutions) Type 9 (asset management) / / Type 10 (providing credit rating services) / / 2.2 Please state the reason for ceasing the above regulated activities. Unfavourable business conditions Sale of business Group consolidation Relocation of business out of Hong Kong Others (please specify)
Section 2: Reduction of Regulated Activity 2.1 Please tick “” the regulated activities you intend to cease. Regulated activity Proposed effective date (dd/mm/yyyy) Type 1 (dealing in securities) / / Type 2 (dealing in futures contracts) / / Type 3 (leveraged foreign exchange trading) (Not applicable to registered institutions) / / Type 4 (advising on securities) / / Type 5 (advising on futures contracts) / / Type 6 (advising on corporate finance) / / Type 7 (providing automated trading services) / / Type 8 (securities margin financing) (Not applicable to registered institutions) / / Type 9 (asset management) / / Type 10 (providing credit rating services) / / 2.2 Please state the reason for ceasing the above regulated activities. Unfavourable business conditions Sale of business Group consolidation Relocation of business out of Hong Kong Others (please specify)
Form%204%20(ENG)_20170201(2).docx