Securities & Futures Commission of Hong Kong

Licensing

As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we:

  • Grant licences to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed under the Securities and Futures Ordinance;
  • Maintain a public register of licensed persons and registered institutions;
  • Monitor the on-going compliance of licensing requirements by
    • licensees
    • substantial shareholders of licensed corporations
    • directors of licensed corporations and substantial shareholders; and
  • Initiate policies on licensing issues.
3.4448 s