Securities & Futures Commission of Hong Kong

Approved or authorized entities

Authorized entities are corporations authorized by the SFC under the relevant rules. Below are the authorized entities we supervise and regulate:

Authorized entities

Relevant rules by which it is approved

Exchange companies, clearing houses and exchange controllers

Part III of the Securities and Futures Ordinance (SFO)

Automated Trading Services (ATS) providers

Part III of the SFO

Designated Central Counterparties for the Purposes of Mandatory Clearing

Part IIIA of the SFO

Federation of Share Registrars Ltd

Note:

The Listing Rules state that only an approved share registrar may be employed to maintain a register of shareholders or warrant holders in Hong Kong.

To be an approved share registrar, a share registrar must be a member of the Federation.

Section 12 of the Securities and Futures (Stock Market Listing) Rules

4.1385 s