Securities (Foreign Securities and Intermediaries) Regulations (Statutory Instrument 39/2006)
Statutory Instrument 39/2006 .. in force 15 May 2006
ARRANGEMENT OF REGULATIONS
PART 1
PRELIMINARY
| 1. | Citation |
| 2. | Interpretation |
PART 2
LISTING AND TRADING FOREIGN SECURITIES
| 3. | Approved classes |
| 4. | Exemption from certain requirements |
PART 3
LICENSING OF FOREIGN BROKER DEALERS AND LIMITED SERVICE BROKERS
| 5. | Licensing requirement for foreign broker dealers and limited service brokers |
| 6. | Exemption from certain Regulations |
PART 4
LICENSING OF FOREIGN INVESTMENT ADVISERS
| 7. | Licensing requirement for foreign investment advisers |
PART 5
LICENSING PRINCIPALS AND REPRESENTATIVES OF FOREIGN INTERMEDIARIES
| 8. | Licensing requirement for principals and representatives of foreign broker dealers, limited service brokers and investment advisers |
| Schedule 1 | |
Commencement [15 May 2006]