As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we:
- grant licences to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed under the Securities and Futures Ordinance;
- maintain a public register of licensed persons and registered institutions;
- monitor the on-going compliance of licensing requirements by
- substantial shareholders of licensed corporations
- directors of licensed corporations and substantial shareholders; and
- initiate policies on licensing issues.
Last update: 22 Jan 2020