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Alllicensedcorporations,licensedrepresentativesandregisteredinstitutionswithinthemeaningoftheSecuritiesandFuturesOrdinance(Cap.,ThisSupplementisONLYapplicabletocorporationsapplyingforalicenceundersection116(1)ofthe.SecuritiesandFuturesOrdinance(ie,notapplicableto ...
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All licensed corporations | sfc licensed corporation
All licensed corporations, licensed representatives and registered institutions within the meaning of the Securities and Futures Ordinance (Cap. Read More
Annex 1 “Core Functions” | sfc licensed corporation
This Supplement is ONLY applicable to corporations applying for a licence under section 116(1) of the. Securities and Futures Ordinance (ie, not applicable to ... Read More
Circular to Licensed Corporations | sfc licensed corporation
Circular to Licensed Corporations - Use of external electronic data storage. 31 Oct 2019. The Securities and Futures Commission (SFC) has observed that the ... Read More
Circular to Licensed Corporations and Associated Entities ... | sfc licensed corporation
2023年5月25日 — The revised version of audit questionnaire shall be completed by auditors of licensed corporations and submitted to the SFC as at the end of the ... Read More
Circulars | sfc licensed corporation
Home · Regulatory functions · Intermediaries; Licensing; Circulars. Loading... Quick access. RSSPerformance pledgesInvestor cornerOpeningsCorporate policies ... Read More
Do you need a licence or registration? | sfc licensed corporation
2022年2月9日 — ... licensed corporation in relation to a regulated activity carried on as a business. In that case, you have to be a licensed representative ... Read More
Do you need a licence or registration? | sfc licensed corporation
2022年2月9日 — you are an individual performing a regulated function for your principal which is a licensed corporation in relation to a regulated activity ... Read More
HKSFC | sfc licensed corporation
Public Register of Licensed Persons and Registered Institutions. Print. Home | Public Register | Search by name | Search by activity | List of sponsors. Read More
Insurance requirements applicable to certain licensed ... | sfc licensed corporation
2022年5月31日 — Q1 : Is every licensed corporation required to take out insurance for the purposes of licensing? Read More
Insurance requirements applicable to certain licensed ... | sfc licensed corporation
Insurance requirements applicable to certain licensed corporations. Q1: Is every licensed corporation required to take out insurance for the ... Read More
Licensed corporation Registered institution | sfc licensed corporation
Licensed corporation / Registered institution. In addition to the requirements set out in the Guidelines on Competence, the following basic ... Read More
Licensing Handbook | sfc licensed corporation
2022年1月1日 — The SFC maintains a register of licensed corporations, licensed representatives, ... licensed corporation without the SFC's prior approval should ... Read More
Licensing Handbook | sfc licensed corporation
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
Licensing Information Booklet ! 發牌資料冊 | sfc licensed corporation
It is a corporation (not being an authorized financial institution) which is granted a licence to carry on one or more than one regulated activity under section ... Read More
Licensing Information Booklet | sfc licensed corporation
regulated activity without the required licence or registration. 1.4. The SFC maintains a register of licensed corporations, licensed representatives, and registered ... Read More
Licensing | sfc licensed corporation
Licensing. As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, ... Read More
Ongoing obligations | sfc licensed corporation
Licensed corporations, licensed representatives (including responsible officers) and registered institutions must remain fit and proper at all ... Read More
Ongoing obligations | sfc licensed corporation
Licensed corporations, licensed representatives (including responsible officers) and registered institutions must remain fit and proper at all times. Read More
Public Register of Licensed Persons and Registered ... | sfc licensed corporation
Search by licence type | Search by certain business activities (corporation only). In case of doubt, please contact the SFC at [email protected]. Please follow ... Read More
Public Register of Licensed Persons and Registered ... | sfc licensed corporation
This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, ... Read More
Register of licensees & registered institutions | sfc licensed corporation
This register lists (1) all licensees (ie, both licensed individuals and licensed corporations) and registered institutions under the Securities and Futures ... Read More
Register of licensees & registered institutions | sfc licensed corporation
2022年12月1日 — This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. Read More
Register of licensees & registered institutions | sfc licensed corporation
Public register of licensed persons and registered institutions. This register lists all licensees (ie, both licensed individuals and licensed corporations) and ... Read More
Regulated Activities受規管活動類別 | sfc licensed corporation
LC includes licensed corporations, deemed licensed corporations and temporary licensed corporations. Remarks: RA1 – dealing in securities. RA2 – dealing in ... Read More
Regulated Activities受規管活動類別 | sfc licensed corporation
Table C2 - Number of Regulated Activities of Licensed Corporations (LC). 表C2 - 持牌法團的受規管活動數目. RA1. RA2. RA3. RA4. RA5. RA6. RA7. RA8. RA9. RA10. Read More
Securities and Futures Commission | sfc licensed corporation
Licensee search SFC Alert Investment product list Search regulations by topics. Individual. Corporate. Enter keywords here ... SFC Fintech contact point. Read More
Sfc | sfc licensed corporation
Established in 1989, the Securities and Futures Commission (SFC) is an independent statutory body set up to regulate the securities and futures markets in ... Read More
Types of intermediary and licensed individual | sfc licensed corporation
2022年1月22日 — All your executive directors must seek the SFC's approval as responsible officers accredited to your corporation. ... licensed corporation. If so, ... Read More
Types of intermediary and licensed individual | sfc licensed corporation
2022年1月22日 — Types of intermediary and licensed individual. Corporations. Full licensed corporations. A corporation (that is not an authorized financial ... Read More
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