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 13 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.
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.