SFC Licensing in Hong Kong: A Guide for Financial Services Firms

A guide to Hong Kong licensing for financial services firms.

If you're looking to offer financial services in Hong Kong, you'll need to be licensed by the Securities and Futures Commission (SFC).

Firms must apply for the relevant SFC licence, meet local requirements for legal structure, premises, responsible officers, compliance and financial resources, and submit a detailed application to the regulator.

• Understanding SFC licence types and requirements: Our guide explains the different licence types, and their specific requirements.
• Key requirements for SFC licence applicants: Our guide explains the key requirements for applicants.
• The SFC application process: Our guide explains the application process, from preparation to submission and SFC review.
• Capital and staffing requirements: Our guide explains the minimum capital and staffing expectations.
• Ongoing compliance obligations after approval: Our guide explains what to expect after submission, including ongoing compliance obligations.

Author: Clarissa Lam