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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 - 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)
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.

Supplements 

The following forms are specified by the SFC under section 402 of the Securities and Futures Ordinance Note .  
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.  
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 

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

Last update: 28 Sep 2022

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