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Intermediaries
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Licensing
- Do you need a licence or registration?
- Types of intermediary and licensed individual
- Application procedures
- Ongoing obligations
- Quick reference guides to licensing requirements
- WINGS
- Register of licensees & registered institutions
- List of modifications or waivers of licensing requirements
- Circulars
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- Supervision
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Licensing
-
Licensing
- Do you need a licence or registration?
- Types of intermediary and licensed individual
- Application procedures
- Ongoing obligations
- Quick reference guides to licensing requirements
- WINGS
- Register of licensees & registered institutions
- List of modifications or waivers of licensing requirements
- Circulars
- Consultations and conclusions
- Forms
- FAQs
Licensing
As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we:
- grant licences to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed under the Securities and Futures Ordinance;
- maintain a public register of licensed persons and registered institutions;
- monitor the on-going compliance of licensing requirements by
- licensees
- substantial shareholders of licensed corporations
- directors of licensed corporations and substantial shareholders; and
- initiate policies on licensing issues.
Last update: 22 Jan 2020