SFC Licenses
in Hong Kong

Our Services Include

Licensing

If you engage in any securities/ futures/ funds/ crypto asset/ credit rating activities in Hong Kong, you may be required to apply for Type 1,2,4,5,6,7,9,10 licences from the SFC. Our experienced team offers bespoke licensing advice on matters such as:

  • The type of licence(s) required for your business
  • Addressing and resolving potential regulatory hurdles to any licensing applications
  • Advising on corporate structure or business plans
  • Formulating application/ business strategies 
  • We shall guide you through all stages of the licensing process, from pre-licensing planning, preparing and submitting the relevant licensing and ancillary applications, to handling all correspondences with and requisitions from the SFC.​

Our Team:

  • Assess qualifications for RO and review CV for RO
  • Advise on corporate structure  and business plan
  • Prepare and submit licensing applications
  • Liaise with SFC case officers
  • Handle SFC correspondences and requisitions
  • Negotiate licensing conditions
  • Prepare compliance manuals and other necessary documents for license application
  • Liaise with other advisers if necessary to ensure that the important legal, tax and accounting issues related to the applications are addressed

Business Notifications

Whether you are seeking to comply with the SFC’s latest requirements, or have doubts as to whether a new business is feasible, our experienced team can advise and represent you in notifying the SFC of any changes in your business activities. Our deep understanding, especially in the area of virtual assets, enables us to have effective communication with the SFC with regard to any unique or complex business models.

Strategic Regulatory Planning and Advice

As a strategic advisory firm with strong regulatory expertise in SFC matters, our mission is to help your business grow through long-term collaboration, and help you navigate through present and upcoming regulatory hurdles through our customised services to address specific challenges you may be facing. Our strategic regulatory advisory services include:

  •  Discussing with you about any regulatory hurdles faced under your current business model, identifying the roadblocks and resolving challenges
  • Providing forward-looking advice in view of forthcoming updates/ changes in Hong Kong’s regulatory requirements which may impact your business
  • Identifying regulatory obligations and providing regulatory gap analysis in respect of any new business or product lines

Advise on SFC Inspections and Responses to the SFC

We can support you in any routine SFC inspections. In particular, our founder has designed the SFC inspection programme and led inspection teams. We are experienced in assisting and advising clients in SFC inspections and responding to the SFC if any non-compliance practices are identified.

Other Regulatory Support

If you need any support, please feel free to discuss with us and we can advise on tactful responses to any of SFC’s regulatory inquiries including formal investigations, ad hoc inquiries and disciplinary cases.