證監會

牌照表格

 表格 

以下列出了證監會根據《證券及期貨條例》註1及2第402條指明的表格,你可從我們的網頁下載空白的表格或在填寫後列印表格。

A - 牌照申請 ─ 法團
B - 持牌發團的發牌後申請
C - 新註冊及註冊後的申請
D - 新大股東的申請
E - 大股東的通知書
F - 有聯繫實體的通知書及申請
註1 由2017年2月1日起,所有個人牌照申請、個人通知書及個人周年申報表必須通過證監會電子網站遞交。

註2 由2019年4月11日起,所有法團的通知書及周年申報表(註冊機構不適用)必須通過證監會電子網站遞交。

 補充文件  

以下列出了證監會根據《證券及期貨條例》註1及2第402條指明的表格,你可從我們的網頁下載空白的表格或在填寫後列印表格。

A - 法團資料
B - 個人資料
C - 負責人員或短期持牌代表
D - 銀行帳戶及財務資料
E - 核心職能主管
註1 由2017年2月1日起,所有個人牌照申請、個人通知書及個人周年申報表必須通過證監會電子網站遞交。

註2 由2019年4月11日起,所有法團的通知書及周年申報表(註冊機構不適用)必須通過證監會電子網站遞交。

 問卷 

以下列出了證監會根據《證券及期貨條例》第402條指明的表格,你可從我們的網頁下載空白的表格或在填寫後列印表格。

A - 一般業務概況及內部監控摘要
B - 特定業務概況及內部監控摘要

 專業團體和專上院校作為認可機構的申請表 




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