Securities & Futures Commission of Hong Kong

Competence requirements

Licensed corporation / Registered institution

In addition to the requirements set out in the Guidelines on Competence, the following basic requirements are expected of a licensed corporation or registered institution. 

Requirements For more information, see:
Competence of the applicant and its management 
Fitness and properness of the applicant, its officers and substantial shareholders
Financial resource (applicable to licensed corporations only) 
Internal control and infrastructure 

 

Responsible officer

Requirements For more information, see: Responsible officer (RO) Licensed representative
Education / professional qualifications / recognized industry qualifications  Yes Yes
Industry experience    Yes Yes
Mangement experience    Yes  No 
Passing the local regulatory framework papers  Yes  Yes 

 

Licensed representative

Requirements For more information, see: Responsible officer (RO) Licensed representative
Education / professional qualifications / recognized industry qualifications  Yes Yes
Industry experience    Yes Yes
Mangement experience    Yes  No 
Passing the local regulatory framework papers  Yes  Yes 

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