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Dealing in derivatives "2. "Dealing in derivatives" means, whether as principal or agent, making or offering to make with any person, or inducing or attempting to induce any person, or soliciting or accepting any order for, or otherwise:- (a) entering into or taking an assignment of the derivative, whether or not on another person's behalf; (b) taking or causes to be taken action that closes out the derivative, whether or not on another person's behalf; (c) in relation to an option:- (i) exercising any right under the option; or (ii) allowing any right under the option to lapse, whether or not on another person's behalf; or (d) initiating, originating, or issuing over-the-counter derivatives.";
PU(A) 336/2011 - CAPITAL MARKETS AND SERVICES (AMENDMENT OF SCHEDULES 1, 2, 3 AND 4) ORDER 2011
3. Amendment of Schedule 2 |
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dealing in derivatives "dealing in derivatives" has the same meaning as in Part 2 of Schedule 3; [Ins. by Act A1406:s.3]
ACT 671 - CAPITAL MARKETS AND SERVICES ACT 2007
2. Interpretation. |