HONG KONG LICENSING DIRECTORY
Clarify the Business First, Then Choose a Licence.
Find Hong Kong financial licences, registrations and membership schemes by business category. Each guide covers application preparation, acquisition and change procedures, and ongoing maintenance.
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Currently displaying 23 Key systems and services · The legal nature of licences, registrations and memberships differs
SFC TYPE 01
SFC Type 1 Licence | Dealing in Securities
Securities brokerage, placing and underwriting, building capital-markets transaction businesses.
SFC TYPE 02
SFC Type 2 licence｜Dealing in futures contracts
Executing futures transactions for clients, assessing exchange and client-asset arrangements.
SFC TYPE 03
SFC Type 3 licence | Leveraged foreign exchange trading
Distinguishing leveraged foreign-exchange business from the general money-changing and remittance regimes.
SFC TYPE 04
SFC Type 4 licence | Advising on securities
Securities investment advice and research services, clarifying the boundary between recommendations and execution.
SFC TYPE 05
SFC Type 5 Licence | Advising on futures contracts
Providing professional advice on futures trading and matching personnel to the required competence.
SFC TYPE 06
SFC Type 6 Licence | Advising on corporate finance
Assessment of business classifications for corporate finance, M&A financial advisory and sponsor business.
SFC TYPE 07
SFC Type 7 Licence | Providing automated trading services
Technology and regulatory boundaries for automated trading facilities and platforms.
SFC TYPE 08
SFC Type 8 licence | Securities margin financing
Financial resources and risk control requirements for securities margin financing.
SFC TYPE 09
SFC Type 9 Licence | Asset Management
Discretionary portfolio management, fund management and wealth management businesses.
SFC TYPE 10
SFC Type 10 licence | Providing credit rating services
Providing credit rating services to the public or subscribers.
SFC TYPE 11
SFC Type 11 licence | Dealing in or advising on over-the-counter derivatives (not yet implemented)
Monitor the statutory implementation and licensing status of the OTC derivatives regime.
SFC TYPE 12
SFC Type 12 licence｜Client clearing for OTC derivative products (not yet implemented)
Monitor the implementation and licensing status of client clearing for OTC derivatives.
SFC TYPE 13
SFC Type 13 licence｜Providing depositary services for relevant collective investment schemes
Applicable recognised-fund depositary, asset custody and independent oversight arrangements.
MONEY SERVICE OPERATOR
MSO Money Service Operator Licence
Money changing, cross-border remittances and online remittance businesses: the complete path from application to renewal.
HONG KONG GOLD EXCHANGE
Hong Kong Gold Exchange Membership Rights
Acquisition of membership rights, share transfers and trading eligibility: first verify identity and business permissions.
DEALERS IN PRECIOUS METALS & STONES
DPMS Registration for Dealers in Precious Metals and Stones
Class A and Class B registrations: identify the applicable class by transaction amount, cash and business model.
INSURANCE BROKER COMPANY
IA insurance broker company licence
Insurance brokerage business, responsible persons, professional indemnity insurance and ongoing compliance.
MONEY LENDERS LICENCE
MLO Money Lender Licence
New applications, acquisitions and renewals for money lending businesses; clarify funding, premises and loan documents.
STORED VALUE FACILITY
SVF Stored Value Facility Licence
Prudent access requirements for e-wallets, multi-purpose stored value facilities and float protection.
STABLECOIN ISSUER
Stablecoin Issuer Licence
Requirements for fiat-referenced stablecoin issuance, reserve assets, redemption and governance.
LIMITED PARTNERSHIP FUND
LPF Limited Partnership Fund Registration
Roles of the general partner, investment manager and responsible persons, and fund registration arrangements.
TRUST & COMPANY SERVICE PROVIDER
Trust companies and TCSP licences
Distinguish trust company registration from TCSP licensing, and clarify service boundaries and ongoing maintenance responsibilities.
FAMILY OFFICE
Establishing a Hong Kong family office
Single-family and multi-family office structures, licensing boundaries and substantive operations.
YOUR NEXT CHAPTER STARTS HERE
First, tell us about your business,
Then select a suitable licensing path.
Discuss your business model, capital budget and schedule with Tang Shangyong (Drew) to prepare a checklist of next steps.