Ms Clara Chiu, Director of Licensing & Head of Fintech Unit of Securities and Futures Commission, introduced the SFC's regulatory framework ... ... <看更多>
This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April ...
The new regime requires that an individual be designated by a licensed corporation (“Managers-In-Charge” or “MIC”) to be principally responsible, either alone ...
Parties regulated by the SFC include, but are not limited to, licensed corporations and individuals carrying on Type 1 to Type 10 regulated activities under ...
The SFC also participates in monitoring the on-going compliance of licensing requirements by licensees, substantial shareholders of licensed corporations, ...
The Securities and Futures Commission (SFC) conducted a review of licensed corporations (LCs) which provide brokerage, distribution and advisory services ...
(Client Money) Rules" issued by the SFC. f. FRR. Securities and Futures (Financial Resources) Rules. g. Intermediary. A licensed corporation or a registered ...
Application of SFC License in Hong Kong | Overview of the SFC licensing regime ... A licensed corporation should at least annually evaluate the training ...
#11.
Hong Kong SFC releases new FAQs on external electronic ...
Licensed corporation, Regulatory records, Securities and Futures Commission of Hong Kong (SFC). Paper type Technical paper. Introduction.
#12.
New SFC measures to heighten senior management ...
SFC issued a circular to all licensed corporations to introduce measures to heighten the accountability of the senior management of these firms and to ...
#13.
LaunchPlus Hong Kong | Get Started | SFC Licensing basic ...
Carrying out these activities without obtaining a SFC licence is a criminal ... Forms for directors of licensed corporation and corporate substantial ...
#14.
What is the difference between a licensed corporation and a ...
The Securities and Futures Commission, also known as SFC, is the statutory regulator of the securities industry in Hong Kong.The Securities and ...
#15.
Chris Ho - Director at an SFC - licensed corporation (Type 6 ...
Experience. An SFC-licensed corporation Graphic. Director at an SFC - licensed corporation (Type 6 Regulated Activity Responsible Officer).
#16.
SFC Notification and Licensing Forms
Becoming a substantial shareholder of a licensed corporation. SS. Form 4 +. Supplement 2 & 3. (for corporate applicant and its directors); or. Supplement 3 (for.
In early October 2019, the Securities and Futures Commission of Hong Kong (the “SFC”) took enforcement action against a Type 9 licensed corporation for ...
#18.
Hong Kong SFC's Manager-In-Charge regime – are you on ...
The Manager-In-Charge Regime impacts all SFC licensed corporations and their senior management in Hong Kong.
#19.
WSG Article: Hong Kong: SFC Licensing FAQs - Deacons
The Hong Kong Securities and Futures Commission (SFC) has recently updated ... same regulated activity for another licensed corporation, the SFC will assess ...
#20.
Hong Kong: SFC's first disciplinary action against a Manager ...
... (SFC) "Manager in Charge" (MIC) regime, which aims to heighten senior management accountability within licensed corporations (LCs), ...
#21.
Oversight - Contentstack
The Securities and Futures Commission of Hong Kong (SFC) has released a Circular ... Under section 130 of the SFO, licensed corporations must seek the SFC's ...
#22.
Hong Kong SFC unveils senior management disclosure rules
Corporations licensed to operate in Hong Kong may have to carry out some extensive admin work to ensure they are complying with tough governance regulations set ...
#23.
SFC licensees per firm - Webb-site.com
Row Name ROs Reps Total Reps v total % Licensed
2 Morgan Stanley Asia Limited 57 995 1052 94.58 2006‑04‑07
3 GOLDMAN SACHS (ASIA) L.L.C. 41 894 935 95.61
4 CLSA LIMITED 38 685 723 94.74 2013‑07‑09
#24.
Hong Kong SFC paves the way for retail access to crypto ...
The new licensing regime for virtual asset service providers (VASPs) ... of Terrorism (For Licensed Corporations and SFC-licensed Virtual ...
#25.
SFC licensing - Bovill
All licensed corporations always maintain a minimum paid-up share capital and liquid capital. This can vary depending on the types of regulated activity you ...
#26.
License Corporation - CityLinkers
If a licensed corporation ceases carrying on all of the regulated activities for which it is licensed, it should submit to the SFC its audited accounts and ...
#27.
Cap. 571 Securities and Futures Ordinance Schedule 1 ...
means accredited to a licensed corporation with the Commission's approval under section 122 of this Ordinance;. Advisory Committee.
#28.
證監會牌照申請 - MS Group
In an SFC license application, applicants must submit application forms ... of the pertinent SFC Application Forms for Licensed Corporations and ROs to ...
#29.
The SFC clarifies licensed corporations' obligation to disclose ...
As part of the recently revamped licensing process, licensed corporations are now required to disclose information about any internal investigation against ...
#30.
SFC Finds Deficiencies in LC's Standards - Hauzen LLP
SFC has a reminder on regulatory standards for you! ... from its review of licensed corporations (“LCs”) providing online brokerage, ...
#31.
Obtaining an SFC Licence: 10+1 things to know - JD Supra
Indirect substantial shareholders: where a person has 35% or more of the voting power in a corporation that controls more than 10% of the ...
#32.
SFC's “Manager-In-Charge” regime - a new reform to embrace ?
On 16 December 2016, the Securities and Futures Commission (“SFC”) ... been deemed senior management of a licensed corporation, the SFC.
#33.
SFC Enforcement Actions Trends and Tracker - Allen & Overy
In Q3 2020, the SFC disciplined two licensed corporations and seven individuals, resulting in total fines of HKD6.7m. One licensed corporation ...
#34.
Hong Kong's SFC introduces new bank account ... - Cygnetise
... Commission (“SFC”) has introduced a new regulatory mandate for the management of bank accounts within Licensed Corporations (“LC”).
#35.
Securities And Futures Commission (SFC) - Investopedia
Hong Kong's SFC's operational units include corporate finance, policy, China and investment products, enforcement, supervision of markets, licensing and ...
#36.
10 FAQs when applying for an SFC License in Hong Kong
Type 5 – Advising on Futures Contracts; Type 6 – Advising on Corporate Finance; Type 7 – Providing Automated Trading Services; Type 8 – ...
#37.
Setting Up In Hong Kong: A Guide To Applying For An SFC ...
Firms: Licensed Corporations ; SFC License Type 3. Leveraged foreign exchange trading ; SFC License Type 4. Advising on securities ; SFC License ...
#38.
Internal Audit Manager (for a SFC licensed corp) - Michael Page
Internal Audit Manager (for a SFC licensed corp). Hong Kong Permanent HK$40,000 - HK$55,000 per month (HK$480,000 - HK$660,000 per year).
#39.
A message from the SFC to licensed corporations: Mislabeling ...
A message from the SFC to licensed corporations: Mislabeling Indications of ... On 28 January 2022, the Securities and Futures Commission (“SFC”) has ...
#40.
ISDA Response to SFC Consultation on OTCD
The Securities and Futures Commission (“SFC”). 35/F Cheung Kong Center ... We thus request the SFC to allow licensed corporations to.
#41.
SFC review of online services – enhancements identified for ...
The Securities and Futures Commission (“SFC”) issued a report in August 2022 following a review of licensed corporations' (“LCs”) compliance ...
#42.
CT/112/22 - 通告 CIRCULAR
2 Relevant Regulated Intermediaries refer to SFC-licensed corporations and registered institutions subject to the HKIDR pursuant to the ...
#43.
COVID-19: Hong Kong Securities & Futures Commission ...
Notification Requirements. Under the Securities and Futures (Licensing and Registration) (Information) Rules (the Rules), a licensed corporation ...
#44.
Exploring the Role of a Responsible Officer - Hong Kong Lawyer
... (SFC) under section 126(1) of the Securities and Futures Ordinance (the “SFO”) as a Responsible Officer of a licensed corporation.
#45.
TOPIC 4 - OVERVIEW
An intermediary's board should be involved in any SFC license application ... Every licensed corporation must have, for each regulated activity for which it.
#46.
SFC Directs Licensed Corporations to Plan for Contingencies
The SFC expresses concern that some licensed firms may not have plans in place to deal with financial distress or the sudden unavailability ...
#47.
Hong Kong SFC Unveils Consultation Conclusions on AML ...
... and Counter-Financing of Terrorism (For Licensed Corporations) (the AML/CFT Guideline). The Consultation Conclusions set out the SFC's ...
#48.
SFC's New Requirements on a Licensed Person's ...
Committee (SFC) issued a circular to licensed corporations on responsible officers and substantial shareholders (the “Circular”).
#49.
A Guide on the Securities and Futures Commission (SFC) of ...
A Guide on the Securities and Futures Commission (SFC) of Hong Kong. INVESTMENT, FINANCE ... Temporary licensed corporation. Types 1, 2, 4, 5, 6, 10.
#50.
Legal update: Manager In Charge Regime - ComplianceAsia
The SFC added that there was need to delineate who are senior management of a licensed corporation as they are a subset of such regulated ...
#51.
Circular to Licensed Corporations Measures to deal with ...
A corporate licence applicant or an LC is also required to provide the SFC with information regarding its shareholding structure and notify the ...
#52.
SFC publishes pro-forma terms and conditions for licensed ...
SFC publishes pro-forma terms and conditions for licensed corporations which manage portfolios that invest in virtual assets.
#53.
licensed corporation Definition | Law Insider
licensed corporation means a corporation which is granted a licence by the SFC under §116 or §117 of the Securities and Futures Ordinance;.
#54.
Guide To SFC License Requirements in Hong Kong | Startupr
You can check and match them with your corporation. Type 1 – Dealing in securities; Type 2 – Dealing in futures contracts; Type 3 – Leveraged ...
#55.
When Do You Need an SFC License for Your Company?
Nonetheless, the SFC has pledged a target of 15 weeks to process a licensing application. Of course, the exact time required is difficult to ...
#56.
Amber Group Now Licensed to Operate in Hong Kong With ...
As a licensed corporation under the Hong Kong SFC, Celera Markets is a discretionary asset management firm that engages in traditional ...
#57.
Exit Plan Submitted to SFC - Yu, Chan & Yeung Solicitors
it is requested to do so by the SFC. In the recent years, the operation of the licensed corporation (“LC”) is disrupted by unpredictable and ...
#58.
SFC License Requirements in Hong Kong - Sleek.com
How to apply for an SFC license? · Financial status or solvency · Educational or other qualifications or experience related to the nature of work roles (of a ...
#59.
The Licensing Regime under the Securities and Futures ...
Licensed corporations and licence applicants are required to inform the SFC if they currently manage, or plan to manage, ...
#60.
Trading - The Chin Family
While licensed corporations are subject to the SFC's licensing and regulatory requirements, banks' leveraged forex business is exempt from registration with the ...
#61.
SFC Licensing Monday 5 February 2018 - TTN Taxation
(b) hold himself out as carrying on a business in a regulated activity. (2) Subsection (1) shall not apply to: (a) a corporation licensed under ...
#62.
Webinar event: Overview on Regulatory and compliance ...
Overview on Regulatory and compliance requirements for financial services licensed corporations SFC inspection, corporate governance, asset management ...
#63.
Navigating Hong Kong SFC Compliance on AWS - Awsstatic
SFC Circular to Licensed Corporations - Use of External Electronic Data Storage ........ 16. Section C - Requirements for keeping Regulatory ...
#64.
FINANCIAL SERVICES COMPLIANCE - Davis Polk
The SFC regulates licensed (or registered) institutions on the basis of ... a regulated activity on behalf of their licensed corporation. In.
#65.
Disclosure of internal investigations – the Hong Kong SFC's ...
The Obligation requires licensed corporations (LCs) and registered institutions (RIs) to provide the SFC with extra information about the ...
#66.
Hong Kong SFC Issues New Guidelines on Electronic Data ...
On 31 October, the Hong Kong Securities and Futures Commission (SFC) issued its Circular to Licensed Corporations – Use of External ...
#67.
The SFC's New Regime for Climate-related Risk Management ...
On 20 August 2021, the Securities and Futures Commission (“SFC”) issued a Circular to licensed corporations – Management and Disclosure of Climate-related ...
#68.
Frequently Asked Questions on “Disclosure of investigations ...
licensed corporations in the notifications of cessation of accreditation” and the ... and Mr. Lo during the SFC Compliance Forum held on 17 June 2019 (the ...
#69.
Securities and Futures (Licensing And Registration ...
(a) the period of one year to each anniversary of the date on which a person is licensed by the Commission as a licensed corporation or ...
#70.
SFC's clarification on licensing requirements for private equity ...
On January 7 2020, the Securities and Futures Commission (“SFC”) issued ... the SFC generally expects that a corporation to be licensed for ...
#71.
Manager-in-charge regime: What licensed corporations need ...
In the Circular, the SFC sets out its view that the senior management of a licensed corporation includes MICs, in addition to directors and responsible officers ...
#72.
Exploring the Role of a Responsible Officer | Hong Kong - ICLG
Can a person be the Responsible Officer for a number of licensed corporations? The SFC has stated that they are unlikely to be satisfied ...
#73.
memorandum of understanding between securities and ...
SFC or approval to be substantial shareholder of an SFC-licensed corporation, or is a director of a corporation applying for a licence with ...
#74.
Exploring the Role of a SFC Responsible Officer | Gall Solicitors
How many Responsible Officers is a licensed corporation required to have? Not less than 2 individuals, at least one of whom must be an executive ...
#75.
[SOLD] Profile of an SFC Licensed Corporation 證監會持牌 ...
[SOLD] Profile of an SFC Licensed Corporation 證監會持牌公司的資料 · Type 1, Dealing in Securities (HK Stock Trading, US Stock Trading, Margin ...
#76.
New SFC Measures to Increase the Accountability of Licensed ...
1. Introduction The Securities and Futures Commission (SFC) issued a circular to licensed corporations on 16 December 2016 setting out new ...
#77.
Augmenting the accountability of licensed corporations' senior ...
The MIC regime will come into effect on 18 April 2017. • The LC will need to submit the following to the SFC no later than 17 July 2017: (i) MICs' information, ...
#78.
SFC introduces manager-in-charge regime to heighten senior ...
In its "Circular to Licensed. Corporations Regarding Measures for Augmenting the Accountability of Senior Management" (Circular), the SFC ...
#79.
Update on Manager-in-Charge Regime - Dentons Hong Kong
Licensed corporations should report information about their MICs, and any change in this information, to the SFC, including their full name, ...
#80.
AoF Thematic Programme - SFC's Regulation on Virtual Assets
Ms Clara Chiu, Director of Licensing & Head of Fintech Unit of Securities and Futures Commission, introduced the SFC's regulatory framework ...
#81.
My CFIA - Canadian Food Inspection Agency - Canada.ca
Licenses, permits, registrations, exemptions, authorizations, and permissions to move. ... Renew your SFC licence before it expires Renew SFC Licence.
#82.
Legitimate bird's nest traders in Sarawak affected by SFC ...
SIBU: An ongoing crackdown by the Sarawak Forestry Corporation (SFC) on illegal bird's nest houses is also affecting licensed traders in the ...
#83.
HK financial licences a proven QFII path to foreign investors
QFII permits licensed international investors to trade in China's stock ... (SFC) licences in Hong Kong – often a step to applying for QFII.
#84.
Swiftlet house owners stage peaceful protest, say licensing ...
... owners in the region have lost their source of income as they have been told by Sarawak Forestry Corporation (SFC) to stop operations.
#85.
Food, plant and animal inspections
Commercial imports, exports, Safe Food Canadians (SFC) licence, contacts. Inspections and fees. Inspection types and of associated fees.
... based independent investment and financial advisory firm licensed by SFC Type 1, ... CMB International Capital Corporation Limited.
#88.
Hyundai Motor Finance
Licensed by the Connecticut Department of Banking to do business in Connecticut under License Numbers SFC-1885, SFC-BCH-931398, SFC-BCH-20110 ...
#89.
Genesis Finance
Licensed by the Connecticut Department of Banking to do business in Connecticut under License Numbers SFC-1885, SFC-BCH-931398, SFC-BCH-20110 ...
#90.
Service Finance
Service Finance Company, LLC is a nationally licensed sales finance ... terms for home improvement contractors enrolled in the SFC Financing Program.
#91.
GNU General Public License - Wikipedia
The GNU General Public License is a series of widely used free software licenses that ... In October 2021 SFC sued Vizio over breach of contract as an end user to ...
#92.
Hong Kong to crypto exchanges get a securities brokers ...
One of the latest regulations in Hong Kong requires digital asset exchanges to be licensed by the Securities and Futures Commission (SFC) to ...
#93.
Kia Finance America
All Rights Reserved. Licensed by the Connecticut Department of Banking to do business in Connecticut under License Numbers SFC-1885, SFC-BCH-931398, SFC- ...
#94.
| European Securities and Markets Authority
ESMA has published a study on the structure and functioning of EU natural gas derivatives markets, and potential risks for financial stability.
#95.
Direxion | Leveraged ETFs
Direxion Asia Limited ("DAL") is licensed with and regulated by the Securities ... for the contents of this Website, which has not been approved by the SFC.
#96.
Home Capital Reports First Quarter 2023 Results
... SFC Transaction (see Arrangement with Smith Financial Corporation ... by way of a court-approved plan of arrangement under the Business ...
#97.
Reuters Connect
The most flexible subscription in the market, allowing you to license content types from our marketplace under a single, metered subscription.
sfc licensed corporation 在 AoF Thematic Programme - SFC's Regulation on Virtual Assets 的推薦與評價
Ms Clara Chiu, Director of Licensing & Head of Fintech Unit of Securities and Futures Commission, introduced the SFC's regulatory framework ... ... <看更多>