Securities and Futures Commission
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Licensing forms

Forms 

The following forms are specified by the SFC under section 402 of the Securities and Futures Ordinance Note 1 & 2.  You may download blank forms or print completed forms from our website.
A - Application for Licence – Corporation
B - Post-licence Application by Licensed Corporation
C - Application for New Registration and Post-registration Applications
D - New Substantial Shareholder Application
E - Notification by Substantial Shareholder
F - Notification and Application by Associated Entity
Note 1 From 1 February 2017, all individual licence applications, notifications and annual returns should be made through the Online Portal.

Note 2 From 11 April 2019, all corporate notifications and annual returns (not applicable to registered institutions) should be made through the Online Portal.

Supplements 

The following forms are specified by the SFC under section 402 of the Securities and Futures Ordinance Note 1 & 2.  You may download blank forms or print completed forms from our website.
A - Information on Corporation
B - Personal Information
C - Responsible Officer or Temporary Licensed Representative
D - Bank Accounts and Financial Information
E - Manager-In-Charge of Core Functions
Note 1 From 1 February 2017, all individual licence applications, notifications and annual returns should be made through the Online Portal.

Note 2 From 11 April 2019, all corporate notifications and annual returns (not applicable to registered institutions) should be made through the Online Portal.

Questionnaires 

The following forms are specified by the SFC under section 402 of the Securities and Futures Ordinance.  You may download blank forms or print completed forms from our website.
A - General Business Profile and Internal Control Summary
B - Specific Business Profile and Internal Control Summary

Licensing condition consent forms 

Names
Consent Form for Imposition and Revocation of Specific Licensing Condition (Ref: LRP)
Consent Form for Imposition and Revocation of Specific Licensing Condition (Ref: ITP)
Consent Form for Imposition and Revocation of Specific Licensing Condition (Ref: IPP)
Consent Form for Imposition and Revocation of Specific Licensing Condition (Ref: IP2)
Consent Form for Imposition and Revocation of Specific Licensing Condition (Ref: TLR)

Application for approval as a recognized institution for providing Continuous Professional Training 

Name
Application Form for Professional Bodies and Tertiary Institutions for Approval as a Recognized Institution

Last update: 3 Jul 2020

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