Securities & Futures Commission of Hong Kong

Supplements

The following table lists the forms specified by the Commission pursuant to section 402 of the Securities and Futures OrdinanceNote 1. You 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 Supplement 1 - Contact Information and Record Keeping Address for Corporation

MS Word

2 Supplement 2 - Information on Corporate Substantial Shareholder

MS Word

3 Supplement 3 - Statement of Personal Information

MS Word

4 Supplement 4 - Information on Corporate Director

MS Word

5 Supplement 5 - Basic Information on Associated Entity

MS Word

6 Supplement 6 - Bank Accounts

MS Word

7

Supplement 7 - Financial Resources

MS Word
8 Supplement 8 - Business Plan and Proposed Business Activities

MS Word

9 Supplement 8A – Manager-In-Charge of Core Function(s)

MS Word

10 Supplement 9 - Licence Record (For Corporation)

MS Word

11 Supplement 10(s) - Experience of a Principal

MS Word

12 Supplement 13 - Information on Associated Entity

MS Word

13 Supplement 14 - Automated Trading Services

MS Word

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

3.7291 s