SFC licences are required to conduct regulated financial investment activities in Hong Kong. The application process is rigorous, involving corporate structure review, responsible officer assessment, and business plan examination. It generally takes 6–12 months.
SFC REGULATED ACTIVITIES
Type 1 – Dealing in Securities
Type 1 – Dealing in Securities
For firms conducting securities dealing activities, including brokers and dealers.
Type 2 – Futures Contracts
Type 2 – Dealing in Futures Contracts
For firms engaged in futures contracts dealing, including commodity and financial futures.
Type 4 – Advising on Securities
Type 4 – Advising on Securities
For firms providing investment advisory services on securities products.
Type 5 – Advising on Futures
Type 5 – Advising on Futures Contracts
For firms providing advisory services on futures contracts and derivatives.
Type 9 – Asset Management
Type 9 – Asset Management
For fund managers and discretionary portfolio managers managing client assets.
Who Needs SFC Licence
›證券經紀及交易商
›期貨經紀
›投資顧問公司
›基金管理公司
›資產管理公司
PROCESS
1
Eligibility Assessment
2
Document Preparation
3
Submit to SFC
4
SFC Review
5
Licence Granted
Frequently Asked Questions