SFC qualification,大家都在找解答。第1頁
ExemptionsfromtheRecognizedIndustryQualificationand.LocalRegulatory...SecuritiesandFuturesCommission(“SFC”)willnormallyconsiderinassessing ...,grantlicencestothosewhoareappropriatelyqualifiedandcandemonstratetheirfitnessandpropernesstobelicensedundertheSecurities ...
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Guidelines on Competence 勝任能力的指引 ! ! | SFC qualification
Exemptions from the Recognized Industry Qualification and. Local Regulatory ... Securities and Futures Commission (“SFC”) will normally consider in assessing ... Read More
Licensing | SFC qualification
grant licences to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed under the Securities ... Read More
Licensing Information Booklet | SFC qualification
Enquiries on licensing related matters can also be made to the SFC: ❖ By post: ... Industry Qualification Requirement) and Appendix E (Exemptions from the. Read More
Fit and Proper Guidelines 適當人選的指引 | SFC qualification
Financial status or solvency. 5. 5. Educational or other qualifications or experience. 6. 6. Ability to carry on the regulated activity competently, honestly and fairly. Read More
Test of competence | SFC qualification
Option 1, Option 2, Option 3. Academic / Industry qualifications. Satisfy one of the following: Degree in accounting, business administration, ... Read More
Appendix C Table 1 – Recognized Industry Qualifications ... | SFC qualification
Papers versus Regulated Activities (Responsible Officer). RA Country Recognized Industry Qualifications. Local Regulatory Framework Papers. Hong. Kong. Read More
Licensing Handbook | SFC qualification
In order to contain risks to investors, the SFC may impose licensing conditions on qualified firms upon licensed, and place them under closer ... Read More
Licensing Examination for Securities and Futures Intermediaries | SFC qualification
... Resources Photo Video. Home Qualification Practising Qualifications ... LE and the SFC Licences for Regulated Activities. The LE Regulatory Papers (i.e. LE ... Read More
Applying to the SFC for a Type 9 (asset management) Licence | SFC qualification
An applicant for a licence to carry out regulated activity has to demonstrate to the SFC that it has proper business structure, good internal control systems and qualified personnel to ensure that proper management of risks that it will encounter in carry Read More
Licensing Handbook | SFC qualification
2022年1月1日 — 1.2.1. Broadly speaking, you need a licence if you are not an authorized financial institution3 and: ▫ you are a corporation carrying on a ... Read More
Fit and Proper Guidelines | SFC qualification
Educational or other qualifications or experience. 8. 6. Ability to carry on the regulated activity competently, honestly and fairly. Read More
Do you need a licence or registration? | SFC qualification
2022年2月9日 — Incidental exemption · Licensed for Type 1 regulated activity and carry out certain other regulated activities · Licensed for Type 2 regulated ... Read More
Types of intermediary and licensed individual | SFC qualification
2022年1月22日 — Specific approval criteria · Incorporation · Competence · Responsible officers · Senior Management · Substantial shareholders, officers and other ... Read More
Competence requirements for individuals | SFC qualification
2022年1月26日 — Will the applicant be required to meet the academic qualification requirements under the Guidelines on Competence? Read More
Guidelines on Competence | SFC qualification
2022年1月1日 — 3. Recognised industry qualifications (RIQ) should be relevant to the activities to be performed by the individual, demonstrating that the. Read More
SFC to Upgrade Competency Standards for Licensed ... | SFC qualification
2022年1月1日 — Option 3 applies to those without any academic qualification (including those who are unable to provide proof of their academic qualifications). Read More
Top Questions and Answers in Applying for an SFC License | SFC qualification
2020年9月3日 — financial status or solvency; · educational or other qualifications or experience, having regard to the nature of the functions to be performed, ... Read More
SFC's Revised Guidelines on Competence effective 1 January ... | SFC qualification
2022年1月1日 — Following the Securities and Futures Commission's (“SFC”) publication of the ... Academic/Professional Qualification, Degree in accounting, ... Read More
Competence requirements for individuals | SFC qualification
2022年1月26日 — The applicant now rejoins the industry and applies for a new licence. Will the applicant be required to meet the academic qualification ... Read More
Guidelines on Competence | SFC qualification
2022年1月1日 — (a) must have attained the minimum academic qualification of Level 2 ... The SFC will accept industry qualifications listed in Appendix C of the. Read More
Licensing Examination for Securities and Futures ... | SFC qualification
* Recognised industry qualifications can be compensated by certain academic or professional qualifications recognised by the SFC. ** Not required for a licensed ... Read More
SFC Issues Quick Reference Guides to Licensing ... | SFC qualification
2023年3月30日 — The Guidelines outline simplified licence application procedures for family offices, private equity firms, hedge fund managers and mainland ... Read More
Applying to the SFC for a Type 9 (asset management) ... | SFC qualification
General information on applications to the SFC for a licence to carry on Type 9 (asset management) regulated activity. Read More
A Guide to Applying for an SFC License | SFC qualification
2020年9月3日 — How Do I Qualify For An SFC License? Financial Status and Solvency; Education, Qualifications or Experience; Competence and Honesty; Reputation ... Read More
SFC Proposes Changes to Competency Requirements | SFC qualification
2021年1月20日 — The key changes under the proposals are to: Raise the minimum academic qualification requirements for individual licence applicants and ... Read More
Qualifiers for Actions in SFC | SFC qualification
Qualifiers describe how an action associated with the step is executed. The qualifiers are processed by the function block SFCActionControl of the system ... Read More
SFC's Revised Guidelines on Competence effective 1 Jan ... | SFC qualification
2021年10月22日 — Academic/Professional Qualification, Degree in accounting, business administration, economics, finance and law (“Designated Fields”); other ... Read More
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