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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10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

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10月2日 · 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. www.sfc.hk › TC主頁 | 證監會 - SFC

   www.sfc.hk › TC

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   最新監管資訊 通函 諮詢文件及總結. 2024年10月18日. 證監會取得針對福建諾奇股份有限公司前首席財務官的取消資格令. 2024年10月18日. 有關優化新上市申請審批流程時間表的聯合聲明. 2024年10月18日. Singh Amit Kishan遭證監會暫時吊銷牌照七個月. 2024年10月17日. 證監會 ...

4. www.lanturn.com › hk › blogA Comprehensive Guide to SFC Licences in Hong Kong

   www.lanturn.com › hk › blog

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   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.

5. en-rules.sfc.hk › Guidelines › licensing-handbookLicensing Handbook - SFC

   en-rules.sfc.hk › Guidelines › licensing-handbook

   An authorized financial institution which is registered to carry on one or more than one regulated activity, other than Type 3 (leveraged foreign exchange trading) and Type 8 (securities margin financing) regulated activities, under section 119 of the SFO.

6. hksfc-hk.comHome | Securities & Futures Commission of Hong Kong

   hksfc-hk.com

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   SFC suspends Shum Wai Nap for seven months for failures in managing a private fund. 19 Jun 2024. Three sophisticated ramp-and-dump cases transferred to District Court. 19 Jun 2024. SFC’s 35th year and beyond: guiding Hong Kong’s capital markets with mission and vision. More.

7. en-rules.sfc.hk › - › mediaLicensing Information Booklet - SFC

   en-rules.sfc.hk › - › media

   2019年1月31日 · 1.1 This Handbook provides general information of licensing and registration matters under the Securities and Futures Ordinance (SFO) (Chapter 571) administered by the Securities and Futures Commission (SFC).