Securities & Futures Commission of Hong Kong

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
Insurance requirements applicable to certain licensed corporations 9 May 2019
Licensing examinations 23 Jun 2017
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 21 Apr 2017
Presentation materials on new measures enhancing licensing process 16 May 2019
Professional investors 6 Jun 2003
Sponsor regime 8 Oct 2013
4.5551 s