Licensing forms
Forms
Supplements
The following forms are specified by the SFC under section 402 of the Securities and Futures Ordinance Note . |
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1 - Information on Corporation |
2 - Personal Information |
3 - Bank Accounts and Financial Information |
Note 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 SFC will continue to accept paper forms for corporate applications until 31 March 2022. |
Questionnaires
The following forms are specified by the SFC under section 402 of the Securities and Futures Ordinance Note. |
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1 - General Business Profile and Internal Control Summary |
2 - Specific Business Profile and Internal Control Summary |
Note 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 SFC will continue to accept paper forms for corporate applications until 31 March 2022. |
Application for approval as a recognized institution for providing Continuous Professional Training
Last update: 28 Sep 2022