Securities & Futures Commission of Hong Kong

Forms

The following table lists the forms specified by the Commission pursuant to section 402 of the Securities and Futures OrdinanceNote 1You may download blank forms or print out completed forms from our website.

Quick User Guide on Licensing Forms

Item Name of the forms

Forms

1 Form 1 - Application for Licence - Corporation MS Word
2 Form 1A - Application for Temporary Licence - Corporation MS Word
3 Form 1(s) - Submission to act as Sponsor - Corporation or Authorized Institution MS Word
4 Form 2 - Application for Registration - Authorized Institution MS Word
5 Form 4 - Application for Addition/Reduction of Regulated Activity and Change of Licensing/Registration Condition

MS Word

6

Form 4A - Miscellaneous Applications - Licensed Corporation, Registered Institution, Associated Entity and New Substantial Shareholder

MS Word
7 Form 5 - Notification - Licensed Corporation, Registered Institution and Substantial Shareholder MS Word
8

Form 6 - Notification - Associated Entity

MS Word

9

Form 7 - Annual Return - Licensed Corporation

MS Word

Note 1 From 1 February 2017, all individual licence applications, notifications and annual returns should be made through the Online Portal.

3.7633 s