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2024年7月2日 · 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
2024年7月2日 · 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》（《打擊洗錢條例》）下虛擬資產服務提供者 ...
the Securities and Futures Commission (SFC). 2. Any person carrying on regulated activities in the securities and futures markets and the non-bank retail leveraged foreign exchange market in Hong Kong has to be licensed or registered with the SFC, unless a3.
2022年11月5日 · Read on to learn more about these licences, how to determine which SFC licence type your business could fall into, and the SFC licence application process. Hong Kong SAR was ranked fourth globally in the recent thirty-second edition of the Global Financial Centres Index (GFCI 32) published last 22 September 2022.
2020年10月20日 · In this article, we provide an overview of SFC licensing requirements, including whether an SFC license is required, what type of SFC license is required and provide guidance on how to meet SFC license requirements.
The Licensing Examination for Securities and Futures Intermediaries (LE), a practical and market-focused examination for individuals who wish to pursue their careers in the securities and investment industry in Hong Kong.
2020年9月3日 · In this article, we provide an overview of SFC licensing requirements, including whether an SFC license is required, what type of SFC license is required and provide guidance on how to meet SFC license requirements.
2020年11月18日 · What are the SFC license requirements? What type of SFC license do I need? Do I qualify for any exemptions from SFC licensing? When an SFC license is needed. The Securities and Futures Ordinance (" SFO ") requires firms who carry on a business in a regulated activity (" RA ") or who hold themselves out as so doing to be licensed.
A licensed or registered person should report to the SFC immediately when any event as specified under paragraph 12.5 of the Code of Conduct takes place. VA Trading Platform Operators should refer to paragraphs 8.2, 16.7(b) to 16.7(g) of the VATP Guidelines
2023年12月14日 · An SFC Type 4 license in Hong Kong is a specific regulatory license issued by the Securities and Futures Commission (SFC). This license authorizes the holder to engage in regulated activities related to “Advising on Securities” within the jurisdiction of Hong Kong.
