Securities & Futures Commission of Hong Kong

Forms 1, 1A, 1(s), 2, 3, 3A, 4 to 8

The following table lists the forms specified by the Commission pursuant to section 402 of the Securities and Futures Ordinance. You may download blank forms or print out completed forms from our website. Please consider electronic submission through the SFC Online Portal at https://portal.sfc.hk.

Item Name of the forms Forms
1 Form 1 - Application for Licence - Corporation

PDF 

2 Form 1A - Application for Temporary Licence - Corporation

PDF 

3 Form 1(s) - Submission to act as Sponsor - Corporation or Authorized Institution PDF 
4 Form 2 - Application for Registration - Authorized Institution

PDF 

5 Form 3 - Application for Licence - Representative (Note 1) PDF 
6 Form 3A - Application for Temporary Licence - Representative PDF 
7 Form 4 - Miscellaneous Applications PDF 
8 Form 5 - Notification - Licensed Corporation, Registered Institution, Licensed Representative and Substantial Shareholder

PDF 

9 Form 6 - Notification - Associated Entity PDF 
10 Form 7 - Annual Return - Licensed Corporation PDF 
11 Form 8 - Annual Return - Licensed Representative PDF 

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/web/EN/forms/intermediaries/licensing-others/licensing-condition-consent-form.html) and submit the Consent Form together with his/her licence application in order to expedite the application process.

3.3062 s