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1. www.sfc.hk › Guidelines › licensing-handbookLicensing Handbook - SFC

   www.sfc.hk › Guidelines › licensing-handbook

   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

2. www.sfc.hk › Types-of-intermediary-and-licensed-individual中介人及持牌人士的類別 | 證監會 - SFC

   www.sfc.hk › Types-of-intermediary-and-licensed-individual

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   2022年1月12日 · 假如你有意就第1類受規管活動（證券交易）及／或第2類受規管活動（期貨合約交易）提出申請並擬成為交易所參與者，你應作好準備將會需要根據已核准的總保險單投購保險。. 獲委任的保險經紀將會處理相關的行政管理事宜。. 鑑於香港聯合交易所或香港期貨 ...

3. www.sfc.hk › Licensing › Do-you-need-a-licence-or-registrationDo you need a licence or registration? - SFC

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

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   2022年2月9日 · You are not required to be licensed for Type 4 (advising on securities), Type 5 (advising on futures contracts), Type 6 (advising on corporate finance) or Type 9 (asset management) regulated activity if you provide the relevant advice or services solely to your wholly

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 · The following are the different licences and what are considered regulated activities, under the SFO Schedule 5: SFC Licence Type 1 – Relating to securities. SFC Licence Type 2 – Dealing in futures contracts. SFC Licence Type 3 – Leveraged foreign exchange trading. SFC Licence Type 4 – Advising on securities.

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

   en-rules.sfc.hk › - › media

   2019年1月31日 · 2.3.4 You are licensed for Type 1 regulated activity (dealing in securities) and you wish to carry out Type 4 (advising on securities), Type 6 (advising on corporate finance) and/or Type 9 (asset management) regulated activity. You do not need to be licensed for

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

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

   In that case, you have to be a licensed representative accredited to your principal (section 114(3) and (4) of the SFO). In addition, if you are an executive director5 of that corporation, you also need to be approved as a responsible officer (section 125(1)(a) of the SFO).

7. www.mondaq.com › hongkong › securitiesTop Questions And Answers In Applying For An SFC License ...

   www.mondaq.com › hongkong › securities

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   2020年11月18日 · 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.