The following table lists the forms specified by the Commission
pursuant to section 402 of the Securities and Futures Ordinance.
Links to the respective downloadable forms are also provided.
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
2
Form 1A - Application for Temporary Licence - Corporation
3
Form 1(s) - Submission to act as Sponsor - Corporation
or Authorized Institution
4
Form 2 - Application for Registration - Authorized Institution
5
Form 3 - Application for Licence - Representative (Note
1)
6
Form 3A - Application for Temporary Licence - Representative
7
Form 4 - Miscellaneous Applications
8
Form 5 - Notification - Licensed Corporation, Registered
Institution, Licensed Representative and Substantial Shareholder
(Note 2)
9
Form 6 - Notification - Associated Entity (Note 2)
10
Form 7 - Annual Return - Licensed Corporation (Note
2)
11
Form 8 - Annual Return - Licensed Representative (Note
2)
12
Supplement 1 - Contact Information and Record Keeping
Address for Corporation
13
Supplement 2 - Information on Corporate Substantial
Shareholder
14
Supplement 3 - Statement of Personal Information
15
Supplement 4 - Information on Corporate Director
16
Supplement 5 - Basic Information on Associated Entity
17
Supplement 6 - Bank Accounts
18
Supplement 7 - Financial Resources
19
Supplement 8 - Business Plan and Proposed Business Activities
20
Supplement 9 - Licence Record
21
Supplement 10 - Duties and Experience of Responsible
Officer
22
Supplement 10(s) - Experience of a Principal
23
Supplement 11 - Activities in Connection with Matters
Regulated by the Hong Kong Codes on Takeovers and Mergers
and Share Repurchases
24
Supplement 12 - Directorships and Other Business Interests
25
Supplement 13 - Information on Associated Entity
26
Supplement 14 - Automated Trading Services
Note 1:
Where applicable, an individual applying to become
a licensed representative may choose to complete the
appropriate Consent Form for Imposition and Revocation
of Specified Licensing Condition (which can be downloaded
at http://www.sfc.hk/sfc/html/EN/forms/licensing/others/others.html)
and submit the Consent Form together with his/her licence
application in order to expedite the application process.
Note 2:
Please consider electronic submission through the SFC
Online Portal at https://portal.sfc.hk.
