TAILIEUCHUNG - Act on Securities Trading (Securities Trading Act)

Maysami and Sims (2002, 2001a, 2001b) employed the Error-Correction Modelling technique to examine the relationship between macroeconomic variables and stock returns in Hong Kong and Singapore (Maysami and Sim, 2002b), Malaysia and Thailand (Maysami and Sim 2001a), and Japan and Korea (Maysami and Sim 2001b). Through the employment of Hendry’s (1986) approach which allows making inferences to the short-run relationship between macroeconomic variables as well as the long-run adjustment to equilibrium, they analysed the influence of interest rate, inflation, money supply, exchange rate and real activity, along with a dummy variable to capture the impact of the 1997. | KREDITTILSYNET Norway Translation date September 2007 Translated by Government Authorised Translator Peter Thomas This translation is for information purposes only. Legal authenticity remains with the official Norwegian version as published in Norsk Lovtidend. Act on Securities Trading Securities Trading Act The Act enters into force partly on 1 November 2007 partly on 1 January 2008 pursuant to Resolution no 752 of 29 June 2007 see section 18-1. Cf. previous Act on Securities Trading no 79 of 19 June 1997 . Part 1 Purpose scope and definitions Chapter 1 Purpose and scope Section 1-1 Purpose of the Act The purpose of this Act is to lay the basis for secure orderly and efficient trading in financial instruments. Section 1-2 Territorial scope of the Act Except as otherwise provided the Act applies to activity in Norway. The King may adopt provisions on the application of the Act in Svalbard and the continental shelf and may establish special rules taking local conditions into account. Section 1-3 Application of the Act to investment firms with a restricted range of services The ministry may in regulations provide that some of the provisions of the Act shall not apply to investment firms which 1. do not hold client assets and 2. engage exclusively in investment advice and or reception and transmission of orders in relation to transferable securities and units in securities funds and 3. only transmit orders mentioned in no. 2 to investment firms or credit institutions authorised to provide such investment services in Norway or to securities fund management companies authorised to carry on securities fund management in Norway. Section 1-4 Application of the Act to credit institutions The ministry may by means of regulations or individual decision exempt credit institutions from one or more of the provisions of this Act. 1 Chapter 2 Definitions Section 2-1 Investment services and ancillary services 1 Investment services means 1. reception and transmission on behalf of .

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