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  1. www.sfc.hk › en › Regulatory-functionsPublic register of licensed persons and registered instituti ...

    2024年11月1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

    2024年11月1日 · 按 牌照類別 搜尋. 按若干業務活動搜尋（只限法團） 於2024年10月更新的《證券及期貨條例》下持牌人及註冊機構資料 (只提供英文版) : 新增的持牌人及註冊機構. 刪除的持牌人及註冊機構. 持牌人及註冊機構的受規管活動的更改. 持牌人及註冊機構的牌照及註冊條件的更改. >索取牌照紀錄的印刷本. 有關 持牌人及註冊機構的公眾紀錄冊的重要法律資料. 最後更新日期: 2024年11月1日.

  3. www.sfc.hk › Intermediaries › LicensingSearch - SFC

    2024年9月30日 · If you are a licensed corporation or a registered institution and intend to make any such changes, you or the person concerned (e.g. the proposed substantial shareholder of a licensed corporation), as well as individual licensees, should lodge an application with

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

    2024年9月30日 · Relevant individuals who perform regulated functions in relation to regulated activities for registered institutions (e.g. bank staff working in the securities dealing department) are not required to be licensed or registered with the SFC.

  5. apps.hkma.gov.hk › chi › index香港金融管理局 - 認可機構證券業務員工紀錄冊 – 搜尋

    按註冊機構名稱搜尋. (只顯示現任有關人士) 現任有關人士. 前任及現任有關人士. 有關註冊機構的註冊資料載於證監會備存的 持牌人及註冊機構的公眾紀錄冊。 .

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

    2022年11月5日 · 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.

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

    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).