66149

Other Securities Companies Besides Investment Management

This group encompasses the business activities of securities companies in the capital market, excluding investment management activities. These activities include, but are not limited to: underwriting securities, other activities related to corporate actions of companies that are planning or have already conducted public offerings; trading securities for their own benefit and on behalf of others, and/or marketing securities for the benefit of other securities companies; engaging in the buying and selling of debt securities and sukuk for their own benefit and/or their customers; offering prospective customers the opportunity to become clients of securities broker-dealers; and marketing mutual fund securities based on cooperation agreements with mutual fund management companies.