The Public Register of Licensed Persons and Registered Institutions is a database of securities, futures and leveraged foreign exchange intermediaries (including persons and organisations) which are licensed by, or registered with the SFC to carry on business in Hong Kong (See "Licensing Handbook" posted on this website for further information).
This Register also displays the licence or registration records of persons or institutions who were previously licensed or registered under the Securities and Futures Ordinance. This Register however, does not provide records of persons who were previously executive officers of registered institutions.
Pursuant to section 136(4) of the Securities and Futures Ordinance, the purposes of this Register are to enable any member of the public to ascertain whether he is dealing with a licensed person or a registered institution in matters of or connected with any regulated activity and to ascertain the particulars of the licence or registration of such persons or institutions (as the case may be).
As required by the Personal Data (Privacy) Ordinance, you may only use the information provided in this Register for the specified purposes as set out above.
This Register is updated daily at the end of the day. Consequently, it may not contain the most up-to-date information of the licensed persons and registered institutions. Registration/licensing status may change between daily updates. If you have any doubt, please contact the SFC directly for the most current information.
You are also advised to check the "Enforcement news" section of this website for details of publicly announced SFC enforcement actions. You may also contact the SFC at firstname.lastname@example.org for details of earlier enforcement actions.
By publishing this Register, the SFC does not guarantee the performance or creditworthiness of any licensed person or registered institution.
Last update: 20 Jan 2020