Licensing Related
The Answers to Frequently Asked Questions contained in this section of our website are designed to assist you to understand the policy of Commission staff on the implementation of certain provisions of the Securities and Futures Ordinance and related subsidiary legislation. The Answers tend to be framed as general statements and do not consider your particular circumstances. Some provisions have important exceptions or qualifications which may not be referred to in the Answers but which may apply in your circumstances. The Answers should not be regarded as a substitute for obtaining professional legal advice. You should seek independent legal or other professional advice before taking action on matters to which the Answers may be relevant or if you have any doubt about how the law applies to you. You are encouraged to read the information contained in the section of our website entitled "Important Legal Information" before reading the Answers.

Topic Last updated
1. Regulated activities 19-Sept-2006
2. Competence

16-Dec-2008

3. Continuous professional training 03-Jun-2003
4. Responsible officers 17-Mar-2009
5. Change of employment by licensed representatives 18-Jun-2003
6. Licensing conditions 30-Aug-2006
7. Temporary licence 02-Jun-2004
8. Provisional licence 18-Jun-2003
9. "Active marketing" under section 115 of the SFO 17-Mar-2003
10. Incidental exemption 22-Jun-2009
11. Professional exemption 17-Mar-2003
12. Trustee Companies 24-Jun-2003
13. Transitional period arrangements 18-Jun-2003
14. Professional Investors 06-Jun-2003
15. Venture Capital Companies 04-Jul-2003
16. Associated Entities 25-Jul-2003
17. Insurance requirements applicable to certain licensed corporations 3-May-2012
18. Credit Rating Agencies 21-April-2011
Other topics relating to the SFO 11-May-2009
   
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