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2024年9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 ...
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指引 最新的版本 過去的版本 適用於根據產品守則獲認可的集 ...
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Licensed for Type 9 regulated activity and carry out certain other regulated activities 1.3.6 You are licensed for Type 9 regulated activity (asset management) and you wish to carry out Type 1 (dealing in securities), Type 2 (dealing in futures contracts), Type 4
For a corporation to be licensed to carry out regulated activities in Hong Kong, section 116 (2) of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong) (“ SFO ”) requires that it has to be either a company incorporated in Hong Kong or an overseas company registered under Part 16 of the Companies Ordinance (Cap. 622 of the La...
2024年9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
- Who Needs An SFC Type 9 License? What Is The SFC Type 9 Licensing Requirement?
- What Exemptions Are There from An SFC Type 9 License?
- Do I Need An SFC Type 9 License For Private Equity?
- What Are Common Conditions For An SFC Type 9 License?
- What Personnel Are Required For An SFC Type 9 License?
- What Are Capital Requirements For An SFC Type 9 License?
Under the Securities and Futures Ordinance (“SFO”), any person who carries on a business in Type 9 regulated activity (asset management) must, unless otherwise exempted, hold an SFC Type 9 license. For this purpose, Type 9 regulated activity (asset management) includes both “real estate investment scheme management” as well as “securities and futur...
Market participants often rely upon the intra-group exemption from the SFC Type 9 license requirement. Under this exemption, a corporation is exempt from a Type 9 license if it provides a service of managing a portfolio of securities or futures contracts solely to its wholly owned subsidiaries, its holding company which holds all its issued shares,...
Historically, many private equity sponsors operating in Hong Kong did not hold an SFC Type 9 license. However, the introduction of the new limited partnership fund (“ LPF”) regime and its corresponding concessionary profits tax rate for carried interest has sparked interest in LPF structures in which the LPF or its general partner (“GP”) delegate i...
SFC Type 9 licenses are often subject to a condition that the licensed corporation not hold client assets. This condition means that the holder of an SFC Type 9 license will normally use an outside custodian (typically a bank or a broker) to custody client assets. Asset management firms will generally accept this condition as it reduces required re...
Every corporation licensed for Type 9 regulated activity must have a minimum of 2 responsible officers (“ROs”) and must appoint individuals to serve as managers-in-charge (“MICs”) of 8 prescribed core functions. These requirements are set out in our Guide to Applying for an SFC License For an SFC Type 9 license, if the ROs are to be approved by the...
An asset manager licensed for SFC Type 9 regulated activity (asset management) will typically be subject to a condition that it not hold client assets. On this basis, it will be exempt from minimum paid-up capital requirements and will require a minimum of HK$100,000 in liquid capital.
2019年5月9日 · This article discusses the latest guidance in the SFC's Licensing Handbook and its impact on licensing for private equity fund managers.
2020年10月20日 · SFC License Type 9: Asset Management In broad terms, the SFO defines "asset management" as real estate investment scheme management or securities and futures contract management. The latter includes providing a service of managing a portfolio of securities or futures contracts for another person.
