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Securities and Futures Ordinance

Every company or individual carrying on regulated activities in the securities and futures markets and the non-bank retail leveraged foreign exchange market in Hong Kong has to be licensed or registered with the Securities and Futures Commission (“SFC”), unless a specific exemption is applicable.

Regulatory Authority

The Securities and Futures Commission (“SFC”) is defined and governed by the Securities and Futures Ordinance ("SFO"), which sets out powers, roles and responsibilities. Their statutory objectives include:

  • to maintain and promote a fair, efficient, competitive, transparent and orderly securities and futures industry;
  • to help the public understand the workings of the securities and futures industry;
  • to provide protection for the investing public;
  • to minimise crime and misconduct in the industry;
  • to reduce systemic risks in the industry; and
  • to assist the Government in maintaining Hong Kong's financial stability.

How SFC regulate

  • Set licensing standards to ensure that all practitioners are fit and proper
  • Approve licences and issue codes and guidelines to inform the industry about expected standards of conduct and set financial resources requirements
  • Monitor licensees' financial soundness and whether they comply with the relevant ordinances, codes and guidelines
  • Handle and investigate complaints against misconduct of licensees, and take action if necessary

SFC License Application

We can assist client in applying for licenses from the SFC for carrying on the following regulated activities in Hong Kong. If you are interested, please feel free to contact us.

License Types

  • Type 1 - Dealing in securities
  • Type 2 - Dealing in futures contracts
  • Type 3 - Leveraged foreign exchange trading
  • Type 4 - Advising on securities
  • Type 5 - Advising on futures contracts
  • Type 6 - Advising on corporate finance
  • Type 7 - Providing automated trading services
  • Type 8 - Securities margin financing
  • Type 9 - Asset management
  • Type 10 - Providing credit rating services
Holiday Notice: The first day of January 2019
Please note that Atrix will be closed on 1 January (Tuesday), and our service to be resumed on 2 January (Wednesday).

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