Licensing
Topic | Last Updated |
---|---|
"Actively markets" under section 115 of the SFO | 17 Mar 2003 |
Associated entities | 25 Jul 2003 |
Capital Investment Entrant Scheme relating to financial intermediaries | 18 Nov 2003 |
Closer economic partnership arrangement | 21 Apr 2017 |
Companies entering the industry for the purposes of managing real estate investment trusts (REITs) | 2 Sep 2015 |
Credit rating agencies | 21 Apr 2011 |
Disclosure of investigations commenced by licensed corporations in the notifications of cessation of accreditation | 21 May 2019 |
Family Offices | 8 Sep 2020 |
Insurance requirements applicable to certain licensed corporations | 7 May 2020 |
Licensing examinations | 23 Jun 2017 |
Licensing related matters in light of the COVID-19 pandemic | 31 Mar 2020 |
Measures for augmenting senior management accountability in licensed corporations | 17 Oct 2017 |
Outside directorships and business interests | 21 Apr 2017 |
Premises for business and record keeping |
31 Oct 2019 (Updated 10 Dec 2020) |
Presentation materials on new measures enhancing licensing process | 16 May 2019 |
Presentation materials on WINGS 2.0 | 4 Dec 2020 |
Presentation materials on WINGS 2.0 (professional advisors) | 4 Dec 2020 |
Sponsor regime | 8 Oct 2013 |
Submission of audited accounts and other documents under section 156(1) of the SFO | 7 Feb 2020 |