|
exempt dealer "exempt dealer" means- (a) a person who carries on a business of dealing in securities only through the holder of a dealer's licence for his own account or for its related corporation; [Am. Act A943] (b) a person who is registered with a body that is approved by the Commission, and the dealing in securities by such person is in relation to arranging or offering for the sale or purchase of, any interest in a unit trust scheme, subject to any term or condition as may from time to time be specified by the Commission; [Subs. Act A1218 - Prior text read - "(b) an exempt fund manager;"] (c) any public statutory corporation constituted under any written law; (d) such other person or class of persons as the Minister may prescribe to be an exempt dealer or exempt dealers subject to such terms and conditions as the Minister may impose; or [Am. by Act A1017] (e) a licensed fund manager or an exempt fund manager whose dealing in securities is solely incidental to the conduct of his business as a fund manager or an exempt fund manager; [Am. Act A1218 - Prior text read - "(e) a licensed fund manager whose dealing in securities is solely incidental to his carrying on the business of a fund manager;"]
ACT 280 - SECURITIES INDUSTRY ACT 1983
2. Interpretation. |
|
exempt dealer "exempt dealer" has the same meaning as is assigned to that expression in section 2 of the Securities Industry Act 1983;
PU(A) 439/1996 - SECURITIES COMMISSION (UNIT TRUST SCHEME) REGULATIONS 1996
2. Interpretation. |
|
exempt dealer "exempt dealer" means - (a) a person who carries on a business of dealing in securities only through the holder of a dealer's licence for his own account or for its related corporation; [Am. Act A661; Act A943] (b) a person who is registered with a body that is approved by the Commission, and the dealing in securities by such person is in relation to arranging or offering for the sale or purchase of, any interest in a unit trust scheme, subject to any term or condition as may from time to time be specified by the Commission; [Am. Act A943; Subs. Act A1218] (c) any public statutory corporation constituted under any written law; [Am. Act A943] (d) such other person or class of persons as the Minister may prescribe to be an exempt dealer or exempt dealers subject to such terms and conditions as the Minister may impose; or [Am. Act A847; Act A943; Act A1017] (e) a licensed fund manager or an exempt fund manager whose dealing in securities is solely incidental to the conduct of his business as a fund manager or an exempt fund manager; [Ins. Act A943; Am. Act A1017; Subs. Act A1218]
ACT 280 - SECURITIES INDUSTRY ACT 1983
2. Interpretation. |
|
exempt dealer "exempt dealer" means - (a) a person who carries on a business of dealing in securities only through the holder of a dealer's licence for his own account or for its related corporation; [Am. Act A661; Act A943] (b) a person who is registered with a body that is approved by the Commission, and the dealing in securities by such person is in relation to arranging or offering for the sale or purchase of, any interest in a unit trust scheme, subject to any term or condition as may from time to time be specified by the Commission; [Am. Act A943; Subs. Act A1218] (c) any public statutory corporation constituted under any written law; [Am. Act A943] (d) such other person or class of persons as the Minister may prescribe to be an exempt dealer or exempt dealers subject to such terms and conditions as the Minister may impose; or [Am. Act A847; Act A943; Act A1017] (e) a licensed fund manager or an exempt fund manager whose dealing in securities is solely incidental to the conduct of his business as a fund manager or an exempt fund manager; [Ins. Act A943; Am. Act A1017; Subs. Act A1218]
ACT 280 - SECURITIES INDUSTRY ACT 1983 [REPEALED BY CAPITAL MARKET & SERVICES ACT 2007] [ACT 671]
2. Interpretation. |