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.

In line with the objective of facilitating smooth entry into the Hong Kong financial market, we place great emphasis on being available and helpful to market participants.

If you wish to:

Please go to:

Make an application

or directly to:

Know our assessment criteria

Search for a licence record

Notify us of any changes in your information

File annual returns and make annual fee payments

Get information about modifications or waivers of licensing requirements

Understand the requirements for continuous professional training (CPT)

Learn about our policies and regulations

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