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    • May require an SFC Type 4 license

      • Investment advisory firms which provide securities advice to clients will normally be carrying on Type 4 regulated activity (RA2) and thus may require an SFC Type 4 license.
      www.timothyloh.com/insights/guides/top-questions-answers-applying-sfc-license

      Top Questions and Answers in Applying for an SFC License

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  3. www.sfc.hk › licensing-handbook › licensing-handbookLicensing Handbook - SFC

    1.3.4 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

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

    2022年2月9日 · As a trust company, 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 such investment advice or

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

    2020年11月18日 · Note 2 - Where a corporation holding only SFC Type 4, 5, 6, 9 or 10 licenses is subject to the licensing condition that it shall not hold client assets, as is generally the case, the paid-up capital requirement for an SFC Type 4, 5, 9 and 10 license holder is nil and for

  6. www.tetraconsultants.com › blog › obtaining-an-sfc-license-inObtaining an SFC License in Hong Kong: Everything You Need ...

    2024年5月27日 · Type 4: Advising on securities Entities offering guidance on securities investments to clients, including financial advisory firms or investment advisory companies, require this license. Type 5: Advising on futures contracts

  7. bbcincorp.com › hk › articlesHong Kong SFC License Essentials: A Comprehensive Overview

    2023年12月14日 · Type 4: Advising on securities. Entities providing guidance on securities investments to clients, such as financial advisory firms or investment advisory companies, require this license.

  8. www.timothyloh.com › insights › guidesTop Questions and Answers in Applying for an SFC License

    2020年9月3日 · Investment advisory firms which provide securities advice to clients will normally be carrying on Type 4 regulated activity (RA2) and thus may require an SFC Type 4 license. However, there are specified circumstances where exemptions ( e.g. group company exemption or incidental exemption) may apply to exempt a firm from having to apply for an ...

  9. www.lexology.com › library › detailSetting Up in Hong Kong: A Guide to Applying for an SFC License

    2020年9月3日 · Firms carrying on a business in providing credit rating services or setting up credit rating agencies in Hong Kong must, unless exempted, be licensed. Do I need an SFC License for...