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1. www.sfc.hk › en › Regulatory-functionsPublic register of licensed persons and registered ...

   www.sfc.hk › en › Regulatory-functions

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   5 天前 · This register lists (1) all licensees (ie, both licensed individuals and licensed corporations) and registered institutions under the Securities and Futures Ordinance (SFO) since the commencement of the SFO on 1 April 2003; and (2) all licensees (both licensed

   • Search by Name Or Ce Number

     Search by Name Or Ce Number - Public register of ...

   • Obtaining a Printed Licence Record

     We only accept requests from current/former licencees ...

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     New releases. Regulatory updates Circulars ...

2. www.sfc.hk › TC › Regulatory-functions持牌人及註冊機構的公眾紀錄冊 | 證監會 - SFC

   www.sfc.hk › TC › Regulatory-functions

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   5 天前 · 持牌人及註冊機構的公眾紀錄冊. 本紀錄冊載列 (1)自2003年4月1日（即《證券及期貨條例》的生效日期）起，所有《證券及期貨條例》下的持牌人（即持牌人士及法團）及註冊機構的資料；及 (2)自2023年6月1日（即《打擊洗錢及恐怖分子資金籌集條例》（《打擊洗錢 ...

3. sc.sfc.hk › gb › appsPublic Register of Licensed Persons and Registered ...

   sc.sfc.hk › gb › apps

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   搜尋. 如有疑問，請電郵至 enquiry@sfc.hk 與證監會聯絡。. 請依照 指示 從而閱覽本 紀錄冊 內的中文字符。. 最後更新日期: 2024年06月01日.

4. 其他人也問了

   What is a SFC licence?

   • Please refer to the relevant provisions for details. 1.4.1 A licence is issued by the SFC under Part V of the SFO only to allow the holder to carry on business in a regulated activity, or to perform a regulated function in relation to a regulated activity carried on as a business, in Hong Kong.

   Licensing Handbook - SFC

   www.sfc.hk/en/Rules-and-standards/Codes-and-guidelines/Guidelines/licensing-handbook

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   When do I need to submit my annual return to the SFC?

   • Licensed corporations and licensed individuals are required to submit annual returns to the SFC through the SFC Online Portal within one month after each anniversary date of their licences ( section 138 (4) of the SFO).

   Ongoing obligations | Securities & Futures Commission of Hong Kong

   www.sfc.hk/en/Regulatory-functions/Intermediaries/Licensing/Ongoing-obligations

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   When should I submit my SFC application?

   • 30 All applications, notifications and annual returns by individual applicants and licensees should from 1 January 2022 be submitted via WINGS-LIC (or the SFC Online Portal between 1 February 2017 and 31 December 2021).

   Licensing Handbook - SFC

   www.sfc.hk/en/Rules-and-standards/Codes-and-guidelines/Guidelines/licensing-handbook

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   What if the SFC refuses to grant a licence or registration?

   • 3.1.1 The SFC is obliged to refuse to grant a licence or registration if the applicant fails to satisfy the SFC that it is fit and proper.

   Licensing Handbook - SFC

   www.sfc.hk/en/Rules-and-standards/Codes-and-guidelines/Guidelines/licensing-handbook

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5. www.sfc.hk › en › Rules-and-standardsLicensing Handbook - SFC

   www.sfc.hk › en › Rules-and-standards

   The SFC maintains a register of licensed corporations, licensed representatives, and registered institutions at http://www.sfc.hk/publicregWeb/searchByName?locale=en .

6. www.sfc.hk › en › Regulatory-functionsOngoing obligations | Securities & Futures Commission of ...

   www.sfc.hk › en › Regulatory-functions

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   2024年4月16日 · Ongoing obligations. General. Exhibition of licence or certificate of registration. Availability of responsible officers. Cessation of business. Notification by licensed corporations, licensed individuals and registered institutions. Notification by directors and substantial shareholders of licensed corporations.

7. sc.sfc.hk › gb › www持牌人及注册机构的公众纪录册 | 证监会 - SFC簡

   sc.sfc.hk › gb › www

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   5 天前 · 持牌人及注册机构的公众纪录册. 本纪录册载列 (1)自2003年4月1日（即《证券及期货条例》的生效日期）起，所有《证券及期货条例》下的持牌人（即持牌人士及法团）及注册机构的资料；及 (2)自2023年6月1日（即《打击洗钱及恐怖分子资金筹集条例》（《打击洗钱 ...