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We act as the gatekeeper to ensure that corporations and individuals seeking to enter Hong Kong's securities and futures industry meet prescribed standards.

What we do:

  • License corporations and individuals seeking to conduct regulated activities in Hong Kong as defined under the Securities and Futures Ordinance
  • Issue codes and guidelines concerning the competence and suitability of corporations and individuals to be licensed
  • Monitor on-going compliance with licensing requirements by licensees and related parties 

Details of regulatory functions

Last update: 15 Jan 2020

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