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    • Advising on securities

      • This is a common question for businesses involved in securities. A Type 1 license allows you to deal in securities, meaning you can buy and sell them on behalf of clients. A Type 4 license focuses on advising on securities, where you provide recommendations but don’t execute trades yourself.
      paycompliance.com/2024/03/08/sfc-license-hong-kong-guide/

      SFC License in Hong Kong: Everything You Need to Know in 2024

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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 › Types-of-intermediary-and-licensed-individualTypes of intermediary and licensed individual - SFC

    2022年1月22日 · A REITs management company is required to be licensed for Type 9 regulated activity (asset management). Whether it needs to be licensed for other type(s) of regulated activity depends on its mode of operation.

    • What is an SFC type 4 license?1
    • What is an SFC type 4 license?2
    • What is an SFC type 4 license?3
    • What is an SFC type 4 license?4
    • What is an SFC type 4 license?5

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

    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

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

    2020年9月3日 · 1. 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.

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

    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.

  8. www.timothyloh.com › guides › hk-setup-guide-sfc-licensingA Guide to Applying for an SFC License - Timothy Loh LLP

    2020年9月3日 · In this article, we provide an overview of SFC licensing requirements, including whether an SFC license is required, what type of SFC license is required and provide guidance on how to meet SFC license requirements.

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

    2022年11月5日 · 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. Hong Kong SAR was ranked fourth globally in the recent thirty-second edition of the Global Financial Centres Index (GFCI 32) published last 22 September 2022.