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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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   2024年5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 individuals and licensed providers) under the Anti-Money Laundering and ...

   • 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 ...

   • Licensing Handbook

     1 Foreword 1. This Handbook provides general ...

   • Application Procedures

     As required by the Securities and Futures (Licensing ...

   • Home

     List of licensed virtual asset trading platforms. ...

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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   2024年5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 ...

3. www.sfc.hk › TC主頁 | 證監會 - SFC

   www.sfc.hk › TC

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   最新消息. 最新監管資訊 通函 諮詢文件及總結. 2024年5月31日. 證監會與迪拜金管局高層在迪拜會面以擴大市場聯繫. 2024年5月29日. 操縱市場人士在具標誌性意義的高等法院陪審團審訊中被定罪. 2024年5月29日. 證監會高層訪問沙特阿拉伯和阿聯酋以促進金融服務合作 ...

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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   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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   Can the SFC grant me a provisional licence?

   • 5.3.2 The SFC may grant you a provisional licence to carry on regulated activity as a representative if you can satisfy the SFC that you are fit and proper and the grant of your provisional licence will not prejudice the interest of the investing public.

   Licensing Handbook - SFC

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

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   Can the SFC revoke or suspend my licence?

   • 9.4.1 The SFC has the power to revoke or suspend your licence (in related to all or certain regulated activity(ies)) under section 195(1)(c) of the SFO, if you do not carry on all or some of the regulated activity(ies) for which you are licensed.

   Licensing Handbook - SFC

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

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5. www.sfc.hk › Licensing › Do-you-need-a-licence-or-registration你是否需要領取牌照或註冊？ | 證監會 - SFC

   www.sfc.hk › Licensing › Do-you-need-a-licence-or-registration

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   2022年2月9日 · 你是否需要領取牌照或註冊？ 受規管活動的類別. 一般規定. 豁免. 進一步指引. 最後更新日期: 2022年2月9日. 相關資料. 發牌手冊.