Licensing forms

The following forms are specified by the SFC under the Securities and Futures Ordinance ^{Note 1 and Note 2}.
1 - Application for Licence – Corporation
2 - Post-licence Application by Licensed Corporation
3 - Application for New Registration (For Authorized Institution Only)
4 - Post-registration Applications (For Registered Institution Only)
5 - New Licence Application for Responsible Officer or Licensed Representative
6 - Post-licence Application for Responsible Officer or Licensed Representative
7 - New Substantial Shareholder Application
8 - Notification by Substantial Shareholder
9 - Notification and Application by Associated Entity
10 - Officer for Signing Financial Resources Returns (other than Responsible Officer)
The following forms are specified by the SFC under the Securities and Futures Ordinance and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance for Virtual Asset Trading Platform Operators.
VA1 - Application for Licence - Corporation (VA Trading Platform Operator)
VA2 - Post-Licence Application (VA Trading Platform Operator)
VA3 - Application for Responsible Officer or Licensed Representative (VA Trading Platform Operator)
VA4 - New Substantial Shareholder/Ultimate Owner Application (VA Trading Platform Operator)
VA5 - Notification by Substantial Shareholder/Ultimate Owner (VA Trading Platform Operator)
VA6 - Notification and Application by Associated Entity (VA Trading Platform Operator)
VA7 - Officer for Signing Financial Resources Returns (other than Responsible Officer) (VA Trading Platform Operator)
^{Note 1}The forms are specified under section 402 of the Securities and Futures Ordinance. ^{Note 2}From 3 January 2022, the electronic licensing forms for all individual and corporate licence applications, annual returns (not applicable to registered institutions) and notifications should be submitted through WINGS.

The following forms are specified by the SFC under the Securities and Futures Ordinance ^{Note 1 and Note 2}.
1 - Information on Corporation
2 - Personal Information
3 - Bank Accounts and Financial Information
The following forms are specified by the SFC under the Securities and Futures Ordinance and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance for Virtual Asset Trading Platform Operators.
VA1 - Information on Corporation (VA Trading Platform Operator)
VA2 - Personal Information (VA Trading Platform Operator)
VA3 - Bank Accounts and Financial Information (VA Trading Platform Operator)
^{Note 1}The forms are specified under section 402 of the Securities and Futures Ordinance. ^{Note 2}From 3 January 2022, the electronic licensing forms for all individual and corporate licence applications, annual returns (not applicable to registered institutions) and notifications should be submitted through WINGS.

The following forms are specified by the SFC under the Securities and Futures Ordinance ^{Note 1 and Note 2}.
1 - General Business Profile and Internal Control Summary
2 - Specific Business Profile and Internal Control Summary
The following forms are specified by the SFC under the Securities and Futures Ordinance and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance for Virtual Asset Trading Platform Operators.
VA1 - Questionnaire for VA Trading Platform Operator
VA2 - Specific Business Profile and Internal Control Summary (VA Trading Platform Operator)
^{Note 1}The forms are specified under section 402 of the Securities and Futures Ordinance. ^{Note 2}From 3 January 2022, the electronic licensing forms for all individual and corporate licence applications, annual returns (not applicable to registered institutions) and notifications should be submitted through WINGS.

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