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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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   3 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

2. 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9月30日. 規管公眾基金存管人的新制度於2024年10月2日生效. 2024年9月30日. 證監會譴責盈科證券有限公司違反監管規定並處以罰款399萬元. 2024年9月27日. 證監會為LET Group Holdings Limited及凱升控股有限公司的獨立少數 ...

3. 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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   3 天前 · 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 ...

4. sc.sfc.hk › gb › appsSFC

   sc.sfc.hk › gb › apps

   由於此網站的設置，我們無法提供該頁面的具體描述。

5. wings.sfc.hk › mainWINGS - SFC

   wings.sfc.hk › main

   Joint product survey by the SFC and the HKMA. For licensed corporations and registered institutions licensed or registered for Type 1 or 4 regulated activity, please complete the questionnaire for this annual joint survey on the sale of non-exchange traded investment products. Access the Questionnaire.

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. www.hkma.gov.hk › eng › regulatory-resourcesRegisters and Lists - Hong Kong Monetary Authority

   www.hkma.gov.hk › eng › regulatory-resources

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   2023年7月11日 · Data & Statistics Publications Research Legislative Council Issues Registers Authorization, Licensing, Designation and Approval Regulatory Guides Consultations Guide to Hong Kong Monetary, Banking and Financial Terms Hotlines of Banks & Stored Value Facility Licensees Join Us Tender Invitations FAQs

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

   www.lanturn.com › hk › blog

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   The Securities and Futures Commission (SFC) requires certain businesses to obtain SFC licences if they do business around what Hong Kong refers to as “regulated activity.” 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.

9. en-rules.sfc.hk › en › Investor-cornerSearch - SFC

   en-rules.sfc.hk › en › Investor-corner

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   2020年9月29日 · To verify the registration or licensing status of a broker or an account executive engaging in regulated securities, futures or leveraged foreign exchange activities in Hong Kong, please check the SFC’s Public Register of Licensed Persons and Registered.

10. www.mondaq.com › top-questions-and-answers-in-applying-for-an-sfc-licenseTop Questions And Answers In Applying For An SFC License ...

    www.mondaq.com › top-questions-and-answers-in-applying-for-an-sfc-license

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    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.