Securities & Futures Commission of Hong Kong

Guide to licence applications

You may also submit all applications through the Online Portal.

› A. Licensed corporation
› B. Responsible officer
› C. Licensed representative
› D. Registered institution
› E. Other applications
› F. Applications fees

We license

Corporations

  • Licensed corporations – companies that engage in the business of regulated activities in Hong Kong such as brokerages.
  • Registered institutions – financial institutions that are primarily regulated by the Hong Kong Monetary Authority (HKMA), but are required to register with the SFC if they carry out regulated activities (except Type 3 or Type 8) in Hong Kong.

Individuals

  • Representatives – persons accredited to a licensed corporation and carries out regulated activities for the licensed corporation.
  • Responsible officers - representatives but with sufficient the authority within the licensed corporations to take responsibility for the regulated activity. 

We do not license

What licence do you wish to apply for?

Corporation

Licensed corporation

licensed by the SFC to carry out regulated activities

Registered Institution

authorized financial institutions such as banks primarily regulated by the Hong Kong Monetary Authority. If they carry out certain regulated activities in Hong Kong, they are also required to register with the SFC.

Individual

 

> Regulated activities

3.7016 s