| Item |
Name of the forms |
You can download the form for input manually |
You can download the form for screen typing
(This feature is subject to refinement) |
| 1 |
Form 1 - Application for Licence - Corporation |
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| 2 |
Form 1A - Application for Temporary Licence - Corporation
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| 3 |
Form 1(s) - Submission to act as Sponsor - Corporation
or Authorized Institution |
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| 4 |
Form 2 - Application for Registration - Authorized Institution
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| 5 |
Form 3 - Application for Licence - Representative |
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| 6 |
Form 3A - Application for Temporary Licence - Representative
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| 7 |
Form 4 - Miscellaneous Applications |
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| 8 |
Form 5 - Notification - Licensed Corporation, Registered
Institution, Licensed Representative and Substantial Shareholder *
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| 9 |
Form 6 - Notification - Associated Entity * |
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| 10 |
Form 7 - Annual Return - Licensed Corporation * |
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| 11 |
Form 8 - Annual Return - Licensed Representative * |
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| 12 |
Supplement 1 - Contact Information and Record Keeping
Address for Corporation |
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| 13 |
Supplement 2 - Information on Corporate Substantial
Shareholder |
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| 14 |
Supplement 3 - Statement of Personal Information |
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| 15 |
Supplement 4 - Information on Corporate Director |
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| 16 |
Supplement 5 - Basic Information on Associated Entity
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| 17 |
Supplement 6 - Bank Accounts |
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| 18 |
Supplement 7 - Financial Resources |
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| 19 |
Supplement 8 - Business Plan and Proposed Business Activities
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| 20 |
Supplement 9 - Licence Record |
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| 21 |
Supplement 10 - Duties and Experience of Responsible
Officer |
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| 22 |
Supplement 10(s) - Experience of a Principal |
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| 23 |
Supplement 11 - Activities in Connection with Matters
Regulated by the Hong Kong Codes on Takeovers and Mergers
and Share Repurchases |
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| 24 |
Supplement 12 - Directorships and Other Business Interests
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| 25 |
Supplement 13 - Information on Associated Entity |
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| 26 |
Supplement 14 - Automated Trading Services |
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