Securities & Futures Commission of Hong Kong

Licensing forms

 Forms 

The following forms are specified by the Commission pursuant to section 402 of the Securities and Futures Ordinance Note 1 & 2.  You may download blank forms or print out completed forms from our website.

A - Application for Licence – Corporation
B - Post-licence Application by Licensed Corporation
C - Application for New Registration and Post-registration Applications
D - New Substantial Shareholder Application
E - Notification by Substantial Shareholder
F - Notification and Application by Associated Entity
Note 1 From 1 February 2017, all individual licence applications, notifications and annual returns should be made through the Online Portal.

Note 2 From 11 April 2019, all corporate notifications and annual returns (not applicable to registered institutions) should be made through the Online Portal.

 Supplements 

The following forms are specified by the Commission pursuant to section 402 of the Securities and Futures Ordinance Note 1 & 2You may download blank forms or print out completed forms from our website.

A - Information on Corporation
B - Personal Information
C - Responsible Officer or Temporary Licensed Representative
D - Bank Accounts and Financial Information
E - Manager-In-Charge of Core Functions
Note 1 From 1 February 2017, all individual licence applications, notifications and annual returns should be made through the Online Portal.

Note 2 From 11 April 2019, all corporate notifications and annual returns (not applicable to registered institutions) should be made through the Online Portal.

 Questionnaires 

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

A - General Business Profile and Internal Control Summary
B - Specific Business Profile and Internal Control Summary

 Application for approval as recognised institutions for providing Continuous Professional Training 

3.7773 s