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- Any firm that carries out a business in a regulated activity in Hong Kong must first be licensed by the SFC Learn about it here
www.lanturn.com/hk/blog/a-comprehensive-guide-to-sfc-licences-in-hong-kong
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the Securities and Futures Commission (SFC). 2. Any person carrying on regulated activities in the securities and futures markets and the non-bank retail leveraged foreign exchange market in Hong Kong has to be licensed or registered with the SFC, unless a3.
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- 1/3/2022 12:22:37 PM
2024年7月2日 · Public register of licensed persons and registered institutions. 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 individuals and ...
- Types of SFC Licences
- Common Types of Regulated Activities and Their Licences
- SFC Licence Criteria
- SFC Licence Application Procedure
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The Securities and Futures Ordinance (SFO) granted the SFC the power and authority to be the regulator of the securities and futures markets of Hong Kong. Every company or individual that doesn’t fall under the category of an authorised financial institution and plans on carrying out regulated activities (RA) in Hong Kong, isrequired to acquire the...
Dealing in Securities – SFC Licence Type 1 According to the SFO, to “deal in securities” is to create an agreement with another person, for the main purpose of the acquisition of securities or to gain profit from the securities. A securities brokerage firm usually falls under Licence Type 1, while its brokers and dealers must become licensed repres...
Most of the public, and investors in particular, would prefer to enter into a business agreement with people and organisations that are competent, fair and honest. In the financial sector, an entity that has been specially authorised by the regulating body of the government will inspire confidence that their investments are in good hands. Oftentime...
Applications are submitted to the SFC online through theWINGSplatform. Before submitting your application, make sure that every applicable question in the application form, including the supplement(s) must bear an answer. The application must be properly signed and attached with the necessary supporting documents required. For individual accounts, ...
For step-by-step assistance on your SFC licence application, contact us right away, and our HK specialists will be in touch to assist you. From acquiring and assessing the most appropriate SFC licence type for your company to assisting infund formation andadministration services, we can help you get started!
2022年1月22日 · Individuals engaged to carry on regulated activity on your behalf are regarded as relevant individuals. They are not required to be registered or licensed with the SFC, but their names and certain particulars have to be entered in the register maintained by the HKMA.
2023年12月14日 · What is an SFC license? An SFC license refers to an official permit issued by the Securities and Futures Commission (SFC). This license grants entities the legal permission to engage in regulated activities within the securities and futures industry in Hong Kong.
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.
2024年1月23日 · What is a Hong Kong SFC License? The Hong Kong SFC license is necessary for organizations and individuals intending to engage in regulated financial activities within the city. The Securities and Futures Ordinance (SFO), which governs this license, certifies
