關於 sfc license list ，我們在網路上蒐集到這些相關的討論、資訊與評價

#11. 證監會牌照申請 - MS Group

In an SFC license application, applicants must submit application forms together ... Finalise shareholding structure, directors' list, responsible officers' ...

#12. Licensing Examination for Securities and Futures Intermediaries

An individual will need one licence or registration to carry on different types of RA. The LEs have been approved by the Securities and Futures Commission (SFC) ...

#13. Register of Licensees - Financial Services Commission

The register contains information only for 'domestic' entities licensed/approved/authorised/registered by the FSC and GBC1s ...

#14. Hong Kong Introduces Licensing Regime for Virtual Asset ...

The regime also provides the SFC with an extensive range of supervisory powers. I. Scope of proposed licensing regime for VASPs.

#15. Hong Kong SFC licensing and compliance hints – June 2022

1. High risk country lists. Risk assessment of customers involves several factors including the country risk factor. The SFC has recently ...

#16. Introduction to Regulatory Framework - HKEX

The SFC is responsible for administering the laws governing the securities ... devising and administering licensing requirements for securities and futures, ...

#17. Hong Kong SFC Commenced Criminal Proceedings Against 2 ...

The SFC commenced criminal proceedings on 30 June 2022 against Choi for carrying on a business in asset management without a SFC licence ...

#18. Application of SFC License in Hong Kong - Deloitte

The following table summarises the key licensing requirements for the common types of licenses that Deloitte provides support. In general, the SFC type 1 ...

#19. Licensed Market Participants- Securities and Futures Bureau ...

List of Application Filing and Business Commencement of OSU (2021-6-2, xlsx, ods). 4.Financial Information of Securities Firms.

#20. Financial Services Commission - 금융위원회

[Press Release] The FSC announced that a revision bill on the Enforcement Decree of the Act on the Establishment of Korea Asset Management Corporation has been ...

#21. Investor Alert List - Securities Commission Malaysia

This section contains the list of unauthorised websites, investment products, companies and ... This list includes: ... Ltd, a HK SFC licensed corporation ...

#22. SFC Licensing - HK Law Firm - Timothy Loh LLP

Our SFC licensing lawyers advise clients on the licensing regime under the Securities and Futures Ordinance (“SFO”) and helps clients apply for SFC licenses ...

#23. Bihar Ration - sfc-bihar - Government of Bihar

#24. Securities and Futures (Licensing And Conduct Of Business ...

Second Schedule - Exemptions applicable for registered fund management companies, exempt corporate finance advisers, exempt futures brokers, and exempt OTC ...

#25. Securities and Futures Commission - Wikipedia

1 History · 2 Responsibilities · 3 Structure. 3.1 List of chairmen; 3.2 List of CEOs · 4 HKSI Licensing Examination. 4.1 Criticisms · 5 See also · 6 References · 7 ...

#26. Mandatory Licensing Regime for Virtual Asset Exchanges in ...

Under this regime, the SFC grants a license for Type 1 (dealing in ... financial reporting and disclosure, VA listing and trading policies, ...

#27. Customs Notice 20-01 - Safe Food for Canadians (SFC ...

Safe Food for Canadians (SFC) licence to import food to Canada Customs Notice 20-01 · food that is imported as part of the personal effects of an ...

#28. Hong Kong Regulatory Update: SFC's Q4 2021 enforcement ...

In addition to taking disciplinary action against the licensed intermediary, the SFC continues to emphasise the accountability of senior ...

#29. Check the firm's licenses before investing online

must obtain a license from the Securities and Futures Commission ... The SFC website maintains an Alert List of unlicensed entities and ...

#30. Safety Fitness Certificate | Alberta.ca

New carriers; Renewing an SFC; Insurance requirements; Accessing documents; Contact. Safety Fitness Certificate renewal date extended. The Government of Alberta ...

#31. Hong Kong moves to revive retail crypto business - DigFin

Since the SFC announced its licensing regime nearly two years ago, ... represented in digital form) requires SFC approval before listing.

#32. Steel Fabrication Certificate New Zealand | SFC NZ

Steel Fabrication Certification (SFC) is an industry-led quality assurance scheme. It ensures participating fabricators have appropriate personnel and ...

#33. MANITOBA SAFETY FITNESS CERTIFICATE (SFC ...

CHECK LIST - The following is completed and/or attached. ☐. All questions have been answered. ☐. Driver's licence number provided – Individual applicant. ☐.

#34. British Virgin Islands Financial Services Commission

The Commission authorises and licences entities and persons to conduct financial services business in compliance with relevant BVI legislation.

#35. About Us | FUTU | Futu Holdings Limited 富途控股

Futu Holdings, an advanced technology company whose subsidiary companies hold SFC types 1, 2, 4, 5 and 9 licenses and U.S. FINRA Securities brokerage ...

#36. SFC bans former Investment Counsellor for taking confidential ...

Legal update: SFC bans former Investment Counsellor for taking confidential client lists. 24Jan2018. The Securities and Futures Commission (“SFC”) announced ...

#37. Hong Kong regulator SFC freezes money related to Ponzi ...

Neither Filho nor DFRF hold an SFC licence to deal in or advise on ... have been added to the Alert List on the SFC website, which lists ...

#38. TOPIC 8 - OVERVIEW

Licensing Exam Paper 1 ... Listing is the process by which an issue of securities is admitted for ... Be appropriately licensed/registered with the SFC.

#39. Updated Guidance for Intermediaries in Virtual Asset Activities ...

SFC -licensed VA trading platforms only: The majority of VA trading ... [7] A list of Specified Exchanges is set out in Schedule 3 to the ...

#40. Hong Kong SFC's New Rules on Bookbuilding & Placing ...

Hong Kong SFC's New Rules on Bookbuilding & Placing Activities: What ... Any licensed or registered person engaged in the above mentioned ...

#41. Process Review Panel for the Securities and Futures ...

operational procedures of the Securities and Futures Commission (SFC) and to ... Membership list of the Working Group on Licensing, Intermediaries.

#42. Cap. 571 Securities and Futures Ordinance

... an intermediary licensed or registered for Type 7 regulated activity; and ... keeping a list of the names of open-ended fund companies;.

#43. Hong Kong SFC consults on new type 13 regulated activity to ...

Depositaries are not licensed by or registered with the SFC and the SFC does ... list is set out in appendix C of the consultation paper).

#44. Safe Food for Canadians (SFC) Licence Requirements ...

For all other foods, not falling in the list above or falls under the exception or exemption, you will require an SFC licence to import on ...

#45. Outsourcing: Hong Kong Overview - Practical Law

However, SFC-licensed entities should ensure their compliance with the SFC's ... GN14 provides a list of essential issues that an authorised ...

#46. Hong Kong to introduce licensing regime for virtual asset ...

A licensed VASP will be subject to the SFC's close and ongoing ... See section 53ZRJ for the list of factors the SFC would consider in this ...

#47. HKSI LE EXAMS and SFC Licence Application and Exemption

This page is about HKSI LE EXAMS and SFC Licence Application and Exemption Videos, it also includes details related to LE HKSI Paper 1,2,3,5,6,7,8,9,12.

#48. Hong Kong Type 9 (Asset Management) License

For individuals and corporations seeking to enter the securities and futures markets of Hong Kong, the Securities and Futures Commission (SFC) is the ...

#49. Using System File Checker in Windows - Microsoft Support

... or press and hold Command Prompt (Desktop app) from the list of results. ... type sfc /scannow (note the space between "sfc" and "/") and press Enter.

#50. eLicensing sample AFS licence application - ASIC

List of Proof documents to be attached to your application ... A4.11.1.2 Hong Kong: Securities and Futures Commission (SFC).

#51. OSL Receives License From Hong Kong Regulator, Becomes ...

OSL Receives License From Hong Kong Regulator, Becomes World's First SFC-Licensed, Listed, Insured & Big-4 Audited Digital Asset Trading ...

#52. An evolving regulatory landscape of cryptocurrency in Hong ...

The SFC will be able to impose licensing conditions resembling those that ... for the listing and trading of virtual assets on its platform.

#53. Recommended Transport Operators (List)

Recommended Transport Operators (List). Supplementary Services - TD & SP. Search for Transport Operator. GO. RESET.

#54. Innovator endorsing bodies - GOV.UK

This page provides a list of authorised endorsing bodies that can issue ... executive education, startup and spinout creation, licensing, ...

#55. Sarawak Forestry Corporation: Homepage

About SFC. Sarawak Forestry Corporation (SFC) is a statutory body of the Sarawak Government formed under Sarawak Forestry Corporation Ordinance, 1995.

#56. Regulated entities - Jersey Financial Services Commission

Name, Licences. 21 Concordia Partners Limited, Alternative Investment Fund Service Business (AIFSB), Fund Services Business (FSB).

#57. HK SFC Issues Circular Identifying Myanmar As High Risk ...

On 2 July 2013, the Securities and Futures Commission of Hong Kong (SFC) issued a circular to licensed corporations and associated entities in relation to ...

#58. New virtual assets regulatory framework and market update

The Securities and Futures Commission (the “SFC”) has a profound ... list out the regulatory standards for (i) VA's portfolio managers, ...

#59. SFC's New Rules on Bookbuilding & Placing Activities

Any licensed or registered person engaged in the above mentioned ... by a listing applicant as a sponsor for a listing application on the ...

#60. Hong Kong Regulatory Update | Insights

These updates cover amendments to the Rules Governing the Listing of ... The SFC also partially suspended one bank's licence to advise on ...

#61. Learn to Fly | How to Become A Pilot | Stapleford Flight Centre ...

HOME > Welcome to SFC! How to Become a Pilot - Learn to fly 'The Dream'. Based in London England, Stapleford Flight Centre has been training private and ...

#62. Forest Stewardship Council: Home

See the complete list > ... For FSC certificate holders and promotional license holders: Access FSC's trademarks. ... See the complete list >.

#63. Information on Windows 10 Site License Software

Keio University and Shonan Fujisawa Campus have several software with site license. The list below shows which software is supported. Software, Manufacturer ...

#64. Jammu and Kashmir Forest Department

Combined Tentative Seniority List of Forest Guards (Graduate, Meritorious, Matriculate and Middle/Non-Matric) of Jammu Province as it stood on 31-08-2022.

#65. New Listing Regime for Special Purpose Acquisition ... - Appleby

HKSE will grant a waiver on the SFC licensing requirement on a case-by-case basis (for example, granting a waiver to a SPAC promoter with an ...

#66. Hong Kong SPACs: Five Things You Need to Know

A Type 9 (asset management) license is held by a corporation ... least one SFC licensed corporation involved in the SPAC listing and through ...

#67. Capital markets regulation in Hong Kong: SPAC listing regime

SPAC promoters, At least one SPAC promoter, which is an SFC-licensed firm (with type 6 [advising on corporate finance] and/or type 9 [asset ...

#68. Supervisory Framework for Markets - Iosco.org

Disclosure about an issuer and securities - listing and continuous disclosure. (P# 14) (10.2, 10.3) ... The SFC licenses/ recognises and regulates.

#69. Seeking approval from the SFC for the transfer of shares of a ...

SFC has reiterated in the June Circular that licenses are only granted to ... An updated list of directors (if you are already an approved ...

#70. GPP Function software for Windows SW3D5C-GPPW-E(V ...

(SFC). MELSEC. Mitsubishi Programmable Logic Controller ... 3.1.1 SFC Program Editing Outline Procedure (for ACPU) ... 3.2 SFC Diagram Symbol List.

#71. Hong Kong SPAC Listing Framework to Launch in 2022

While keeping in mind the need for a competitive listing ... hold at least 10% of SPAC promoter shares and be a firm licensed by the SFC for ...

#72. licensed - 英中– Linguee词典

大量翻译例句关于"licensed" – 英中词典以及8百万条中文译文例句搜索。 ... As (i) the Reserve Reports were issued by licensed evaluator on the list of Ministry ...

#73. How to expand to Hong Kong? Key insights on licensing and ...

That is why Hong Kong comes at the top of the list. ... You can download a copy of “SFC license types for regulated activities & exemptions” ...

#74. A Concise Guide to Banking and Financial Services Licensing ...

authorisation and/or financial licence in order to properly conduct the relevant ... list of required application documents . ... SFC licensing regime .

#75. FCA and SFC sign MoU on United Kingdom-Hong Kong ...

The Financial Conduct Authority (FCA) and the Securities and Futures Commission (SFC) have entered into a Memorandum of Understanding on ...

#76. SFC Suspends Patrick Pau Kwok Sing

The Securities and Futures Commission announced today that it had suspended for one month Mr Patrick Pau Kwok Sing's (Pau) registrations as ...

#77. People's Republic of China–Hong Kong Special ...

The SFC can intervene directly in serious listing matters in initial ... of listing matters and to better balance enforcement, licensing and ...

#78. Food, Civil Supplies and Consumer Affairs Department ...

Notice for document verification on dated 8.07.2022 of newly selected clerk's; Regarding uploading the list of the candidates, who have not been called for ...

#79. Exploring the Role of a SFC Responsible Officer - Gall Solicitors

The starting point is that only licensed representatives can be Responsible Officers. Therefore, all the usual licensing requirements to be a ...

#80. Hong Kong updates listing regime for SPACs from 1 January ...

Prior to de-SPAC transaction · a Type 6 (advising on corporate finance) and/or a Type 9 (asset management) license issued by the SFC; and · at ...

#81. Hong Kong watchdog punishes underwriter for lax IPO ...

The SFC stripped Mega Capital (Asia) of its licence and imposed a ... the auditors in the Hontex listing, but sees no effect from the SFC's ...

#82. Securities and Futures Commission Licensing Requirements ...

The SFC released a new edition of the Licensing Handbook on February 1, 2019, and clarified that only the shares and debentures of Hong Kong ...

#83. SFC's new initiative to warn against unauthorised investment ...

The Securities and Futures Commission (the “SFC”) launched a new ... a list of authorised CIS, and a public register of licensed persons and ...

#84. SFC Enforcement Actions Trends and Tracker - Allen & Overy

In Q2 2020, the SFC disciplined eight licensed corporations and two individuals ... the Securities and Futures (Stock Market Listing) Rules.

#85. Securities and Financial Commission (SFC) - SEC.gov

The PAUSE Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of ...

#86. Hong Kong's new bill introduces first-ever VASP licensing ...

Hong Kong's lawmakers passed an amendment to the city's AML laws that takes effect on July 1, bringing VASPs under the purview of the SFC ...

#87. State Portal Government of Rajasthan

Governor · Chief Minister · Chief Secretary · Districts · Election & Voting · Civil List · Judiciary · Rajasthan Assembly · Sectors & Departments ...

#88. Certificate Name :- वय, राष्ट्रीयत्व आणि अधिवास प्रमाणपत्र Close

Sr.No, Service name, Time limit, Designated Officer, FirstAppellateOfficer, SecondAppellateOfficer. 1, Age, Nationality and Domicile Certificate, 15 ...

#89. PDS

Promotion and Deputation orders · Seniority Lists · Circulars and Govt Orders; e-District; Rationing Reports; Price Monitoring; Notifications. NFSA. SFC and ...

#90. Know complete information about Ration Card List - BankBazaar

For Property transactions and Driving licenses white ration cards are used as residence proof. List of Official Department of Food, Supplies and Consumer ...

#91. Inmate Roster - Current Inmates Booking Date Descending

HOLD FOR ADC COMMERCIAL BURGLARY THEFT OF PROPERTY DRIVING ON A SUSPENDED DRIVER'S LICENSE NO PROOF OF INSURANCE FLEEING IN VEHICLE.

#92. Hong Kong Regulatory Commission to Launch Public ...

The Hong Kong Securities and Futures Commission (SFC) is developing ... organ made amendments to cryptocurrency firms' licensing regime.

#93. Service Finance

Service Finance Company, LLC is a nationally licensed sales finance ... terms for home improvement contractors enrolled in the SFC Financing Program.

#94. SFC Number Plates - National Numbers

DVLA is a registered trademark of the Driver & Vehicle Licensing Agency. National Numbers is not affiliated to the DVLA or DVLA Personalised Registrations.

#95. PrimeVUE - PrimeFaces

Over 90 Vue UI Components with top-notch quality to help you implement all your UI requirements in style. Balance. Category.

#96. Zillow forrest city ar - Nice To Bio

This home is located at 495 Sfc #843, Forrest City, AR 72335. ... View 57 homes for sale in Forrest City, AR at a median listing home price of 9,900.

#97. ️ A curated list of awesome things related to Vite.js - GitHub

vite-esbuild-typescript-checker - Type checker (TypeScript, Vue SFC, etc.) based on the webpack 5 plugin. vite-plugin-simple-gql - Easily import .graphql and .

#98. IN.gov | The Official Website of the State of Indiana

... Tourism Development, Indiana Office of · State Fair Commission (SFC) ... Handgun License · Courts & Legislature · Child Care Finder · State Code / Laws.