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. |
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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. |
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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. |
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A - General Business Profile and Internal Control Summary |
B - Specific Business Profile and Internal Control Summary |
Licensing condition consent forms
Application for approval as a recognized institution for providing Continuous Professional Training
Last update: 3 Jul 2020