Dealing in Investments

Dealing in Investments
(a) Buying, selling, subscribing for or underwriting investments as an agent. 
(b) Buying, selling, subscribing for or underwriting investments as principal
where the person
(i) holds himself out as willing, as principal, to enter into transactions of
that kind at prices determined by him generally and continuously
rather than in respect of each particular transaction;
(ii) holds himself out as engaging in the business of underwriting
investments of the kind to which the transaction relates;
(iii) holds himself out as engaging, as a market maker or dealer, in the
business of buying investments of the kind to which the transaction
relates with a view to selling them; or
(iv) regularly solicits members of the public for the purpose of inducing
them, whether as principals or agents, to buy, sell, subscribe for or
underwrite investments and the transaction is, or is to be entered
into, as a result of the person having solicited members of the public
in that manner.