SFC Licenses Application
According to the Securities and Futures Ordinance (Chapter 571) administered by the Securities and Futures Commission (SFC), 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.
Part of these regulated activities and their corresponding licenses required are:
- Type 1 Dealing in securities
- Type 4 Advising on securities
- Type 9 Asset management
Our dedicated team has solid experience in licensing and compliance.
Our services include
- Assist our clients obtain SFC licenses
- Advice on licensing compliance
- Advice clients on the execution of Securities and Futures Ordinance and the rules and codes of the SFC
- Assist clients with regulatory inspections and investigations, pre-inspection onsite reviews, compliance manuals and other internal policies, compliance training and compliance system set up