Types of intermediary and licensed individual | Securities & Futures Commission of Hong Kong
Frequently Asked Questions
 · PDF 檔案3 Frequently Asked Questions I. General 1. What are the online resources to learn more about the SFC Online Portal? In addition to these FAQs, Portal users are provided with User Guide and online demonstrations (click links to view) as self-learning materials.

Applying to the SFC for a Type 9 (asset management) …

Regulated Activity Minimum paid-up share capital Minimum liquid capital Type 9 – a. in the case where in relation to Type 9 regulated activity, the corporation is subject to the licensing condition that it shall not hold client assets Not applicable HK$100,000 b. in
SFC Services
Perform SFC type 1, 4, 9 business IT MIC functions Regularly review of IT infrastructure and data Keep up-to-date with SFC requirements Handle IT-related audits Perform yearly drill for BCP Organize and coordinate with relevant IT training. Network troubleshooting

現有放債人牌照持牌人名單 (截至 2021年2月28日) (依放債人牌照號碼次序) List of Existing Money Lenders License…

 · PDF 檔案28.2.2021 頁碼 Page No. : 1 總頁數 Total Pages : 75 檔案號碼 MLR No. 英文名稱 English Name 中文名稱 Chinese Name 牌照屆滿日 2021 Minghing Finance (HK) Limited 明興財務(香港)有限公司 25-Feb-22 4597 0024/ 2021 Fortunate Commerce Company Limited

Key SFC Licensing Issues for Virtual Asset Managers, …

Those falling within Box 6 are required to apply for an SFC Type 1 license (as would have been the case before the SFC Announcements) and need to comply with the Additional Requirements. A common question is why a Type 1 license is needed even if the virtual assets held by the funds that are being distributed are considered to be non-SF Virtual Assets.
HK$ 1,130 Paper 8 Securities 40 60 HK$ 1,130 Paper 9 (Version 3.1) Derivatives(Valid for LEs up to and including 31 May 2021) 40 60 HK$1,130 Paper 9 Derivatives (Mark up version of updated syllabus) (Valid for LEs from 1 June 2021) 40 60 HK$1,130 40

Limited Partnership Funds – A Paradigm Shift for the …

In January 2020, the SFC issued two circulars which clarified the position as to whether a private equity fund manager requires an SFC license. Although the two circulars do not contain any new laws, they serve the useful purpose of clarifying what types of activities may trigger a need for an SFC license.

Online CPT Training – CompliancePlus Consulting Limited

Online CPT Training Now you can attend your CPT training online anytime anywhere and even on your smartphone or tablet! Please click here for CompliancePlus Online Training for more details! There are 33 online courses available. Please note that new courses

Search for Current Participants and Trading Right Holders

To search for current Participant(s) or Trading Right Holder(s), please enter appropriate information into either one of the below boxes and click the Search button OTP-C Broker No. Participant
Exploring the Role of a Responsible Officer
The SFC’s Guidelines on Competence include, for example, that it is necessary to satisfy the SFC that the person: is fit and proper (which has regard to his financial status, educational or other qualifications or experience, his ability to carry on the regulated activity competently, honestly and fairly and his reputation, character, reliability and financial integrity);

New licensing regime for virtual asset service providers …

Previously, Securities and Futures Commission (“SFC”) has issued a position paper in November 2019 for licensing of VASPs (SFC type 1 & 7 license) under an opt-in scheme. It applies to platform which enable clients to trade virtual asset (“VAs”) with securities features (e.g. security token).
Search Licensee Register List
Money Service Operators Licensing System provided by the Hong Kong Customs and Excise Department. Contents include Index Page, Online Functions for Money Service Operators (MSOs), Create User Account, User Login, Licensed Money Service Operators
Securities and Futures Commission
The Securities and Futures Commission (SFC) of Hong Kong is the independent statutory body charged with regulating the securities and futures markets in Hong Kong. The SFC is responsible for fostering an orderly securities and futures markets, to protect investors and to help promote Hong Kong as an international financial centre and a key
History ·
SFC Compliance & Licensing
Our SFC Compliance and Licensing team has also received a number of accolades over the years, including recognition at the ASIAN MENA COUNSEL Firm of the Year awards for Compliance & Regulatory work. Our large team comprises former regulators, in-house counsel and compliance and audit professionals and has considerable experience in licensing and compliance matters of all types.
Responsible Officer SFC jobs in Hong Kong
All Responsible Officer SFC jobs in Hong Kong on Careerjet.hk, the search engine for jobs in Hong Kong SINA新浪旗下互聯網劵商 華盛資本証券有限公司在港發展多年,是目前少數擁有香港證監會牌照的互聯網 …
What You Need for the Application
What You Need – Documents (Individual, Joint and IRA Applicants in the US) In addition to the information that you will need to complete the application, you will be asked to provide additional documents. US Residents Interactive Brokers generally verifies the
sfc license
CIB & SFC Licences —- Please help!! It is urgent!! 若你崗位不涉及有關的牌照,機構通常不會為你作任何登記。你最好就是向有關註冊機構查清楚,無主持機構的最長期限(證監會個牌好似係半年),過了有關期限牌 …

Does a Private Equity Fund Manager’s SFC Licensing …

Therefore, SFC licensed PE fund managers seeking a tax concession for carried interest should ensure that they have the appropriate SFC license for their modus operandi, both at the corporate and individual level (with respect to those individuals seeking a tax.