sfc hong kong license

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

Public register of licensed persons & registered institutions This register lists all licensees

Public register of licensed persons & registered institutions This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and

Established in 1989, the Securities and Futures Commission (SFC) is an independent statutory body set up to regulate the securities and futures markets in Hong Kong. Please note that anti-money laundering and counter-financing of terrorism (AML/CFT

2019年10月21日 梁鳳儀在Hong Kong Conference 2019: 首次公開招股的保薦人及對他們的規管(IPO Sponsors and Regulations)上發表的演說 2019年10月8日 證監會就優化投資者賠償制度發表諮詢總結 2019年7月26日 有關證監會對借殼上市及殼股活動的方針聲明

Securities & Futures Commission of Hong Kong-A A +A Eng 繁 簡 Sitemap Lodge a complaint Contact us Go all contents codes & guidelines Advanced search RSS

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Please note that the username and password of an authorised user must remain in his/her own possession and control, and be used solely by himself/herself to login to

Applying to the SFC for a Type 9 (Asset Management) Licence in Hong Kong The following is general information in connection with an application by a company to carry out Type 9 (asset management) regulated activity in Hong Kong.

作者: Charltons

the legal and regulatory requirements governing the conduct of IPO transactions in Hong Kong for the purposes of the SFC’s eligibility criteria for Principals; and Paper 16 — the relevant examination for the purposes of the SFC’s eligibility criteria for Type

WINGS mobile app download A mobile app for WINGS to support QR code login and access the WINGS Mail. New features will be added when more services are available. Visit Google Play or App Store and search for “WINGS SFC”, or scan the QR code above to

Companies seeking SFC licensing Charltons has broad experience in assisting financial intermediaries – including fund managers, corporate finance and investment advisers, and brokers – on SFC licensing approval criteria and application procedures. Our multi

看到招聘信息上有一条是说要求“Registered with SFC as Principal.”之前只听说过SFC License 有T1到T10 首页 发现 等你来答 登录 加入知乎 香港 投资 企业融资 香港的SFC TYPE有具体哪几种? (SFC香港证监会)是否有SFC Principal这种级别?看到招聘

18/9/2019 · 各位師兄, 我想請教係咪如果CFA charter左係可以exempt自動唔使考SFC Papers 1, 7, 9喎o的試? 謝謝! 香港討論區

There is no Java Runtime Environment (JRE) currently enabled or supported by your browser. You are recommended to use the following JRE only to access the e-FRR System: Oracle JRE 6 (1.6), or Oracle JRE 7 (1.7), or Oracle JRE 8 (1.8) You are using: Please

Professional organisation for securities & investment industry that provides examination, training, events, and membership services The HKSI Institute may cancel or reschedule its examinations, training courses or events at any time, taking into consideration the

When Activity is set to “All”, a person who holds both roles (in different activities) is treated as an RO. “Reps v total” is a measure of how bottom-heavy a firm is, because the ROs supervise the Reps. We query the SFC database and update the tables regularly.

Hong Kong (See “Supervisory Policy Manual SB-1 Supervision of regulated activities of SFC-registered authorized institutions The HKMA Register contains, among other things, records of public disciplinary actions (if any) taken by the SFC and/or the

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1 User Guide of the SFC Online Portal Table of Contents 1. INTRODUCTION 3 1.1 Abbreviations 3 1.2 Icons

1. INTRODUCTION The licensing and registration of persons operating in Hong Kong’s securities and futures markets and non-bank retail leveraged foreign exchange market is dealt with in Part V of the Securities and Futures Ordinance (the ‘SFO’) which came into

With effect from 14 May 2018, all applicants submitting applications online are only required to file a hard copy of the following pages of the application pack to the SFC: ‧ cover page; ‧ declaration page(s) duly signed; and ‧ vetting authorisation form (if necessary 6

Licensing Hong Kong’s Securities and Futures Commission (SFC) requires individuals and entities involved in ten “regulated activities” to be license by or registered with the SFC. As the gatekeeper of standards for individuals and corporations seeking to enter the

We provide practice sample questions for Hong Kong Securities Institute (HKSI) LE Paper 1, Paper 7, Paper 8 and Paper 9 licensing examinations taken by securities brokers and staff in brokerages. We are an online study platform for Licensing Examination for

All Licensing SFC jobs in Hong Kong on Careerjet.hk, the search engine for jobs in Hong Kong SINA新浪旗下互聯網 商 華盛資本証券有限公司在港發展多年,是目前少數

While Hong Kong was a better place when it didn’t bother such platforms, it was inevitable this day would come. Exchanges will likely maintain parts of their teams in Hong Kong, but work harder to convince the public of a new narrative that places them outside

SFC clarifies Requirements for Asset Management Activity Introduction Competence requirements for corporations Competence requirements for ROs Relevant industry experience Local regulatory framework paper (LRP) requirements Introduction On 23 June 2017

The Hong Kong Securities and Futures Ordinance (the SFO) requires almost all financial industry participants in Hong Kong to obtain a corporate licence to conduct business and then to license individuals who will be providing designated services within the scope of

“On being transferred to our Hong Kong operation from the UK, I discovered that I was required to sit a number of SFC Licensing Exams. As the Hong Kong regulatory requirements differ from those in the UK, this was not a straightforward transfer of knowledge and

Hong Kong as an International Financial Centre Fintech Bond Market Development Financial Market Infrastructure Stored Value Facilities and Retail Payment Systems Soft Infrastructure International & Regional Financial Co-operation

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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.

There is no Java Runtime Environment (JRE) currently enabled or supported by your browser. You are recommended to use the following JRE only to access the e-FRR System: Oracle JRE 6 (1.6), or Oracle JRE 7 (1.7), or Oracle JRE 8 (1.8) You are using: Please

SFC Licensing We provide thorough and practical compliance consulting services to assist financial institutions including hedge fund managers and fund management companies in identifying their risk matters and compliance issues to ensure their compliance

Only Hong Kong companies (a private limited company or an overseas company registered in Hong Kong) can apply an SFC license. The Responsible Officers (ROs) and licensed representatives (LPs) need to be registered also. Our licensed consultant can assist

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Applying for a financial services license in Hong Kong is relatively simple and straightforward. Although you can apply for the license on your own, it is strongly advised that you should engage a professional services firm to save time and resources.

Established in Hong Kong in 1997, we are committed to provide comprehensive legal services to local and international clients. Our team of lawyers is highly experienced to deal with complex legal issues, to tackle legal problems and to provide effective legal

If you are looking for a complete directory about registered Hong Kong Forex Brokers, This is the site that you will want to visit whenever you are looking for SEC regulated Forex brokers in Hong Kong whether you are a foreigner or a local trader investor.

A person carrying on business as a money lender in Hong Kong must obtain a money lender’s licence. The licensing of money lenders and regulation of money-lending transactions are governed by the Money Lenders Ordinance, Chapter 163 of the Laws of Hong

To operate businesses in Hong Kong, you will need to observe the environmental protection ordinances and apply for permits and licences as required. Here you can learn about the legislation that has been enacted to protect the local environment, whether your

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

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