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front page Hong Kong Securities and Futures Commission license

Hong Kong Securities and Futures Commission license

Aggregation of Hong Kong Securities and Futures Commission SFC license applications、1/4/9 number plate combination、Family Office Exemption、RO configuration、FRR filing and anti-money laundering compliance points，Covering asset management、Consulting and brokerage business implementation and reminder cycle、Fees and regulatory red lines。

Hong Kong Securities and Futures Commission SFC No. 1/4/9 license application：Match the asset management company’s compliance structure with the person in charge of the RO
Hong Kong Securities and Futures Commission license 2026-07-05

Hong Kong Securities and Futures Commission SFC No. 1/4/9 license application：Match the asset management company’s compliance structure with the person in charge of the RO

Dismantling the business boundaries of No. 1/4/9 license、RO evidence chain、Three lines of defense and SFC inquiry focus，Help the asset management team conduct self-examination before application，Reduce the risk of delays in replacement parts，Get the plan now。
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Why do mainland private equity funds prefer Hong Kong’s No. 9 plate? Application fee、Complete explanation of exemption conditions and cycles
Hong Kong Securities and Futures Commission license 2026-07-01

Why do mainland private equity funds prefer Hong Kong’s No. 9 plate? Application fee、Complete explanation of exemption conditions and cycles

Sort out the fees for mainland private equity companies to apply for Hong Kong No. 9 license plate、RO configuration、Exemption boundaries and 3-6 month review and approval rhythm，Evaluate first and then submit，Reduce the risk of delays in replacement parts，Consult now。
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What is the difference between Hong Kong SFC No. 1 and No. 4 plates? Guidance on Capital Requirements and Business Boundaries
Hong Kong Securities and Futures Commission license 2026-06-27

What is the difference between Hong Kong SFC No. 1 and No. 4 plates? Guidance on Capital Requirements and Business Boundaries

Not sure if I should apply for No. 1 plate、Number 4 or double card? Clarify transaction execution first、investment advice、RO configuration、Capital Budget vs. 12-18 Month Maintenance Costs，Avoid operating beyond scope，Obtain compliance implementation plan。
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Acquisition by Hong Kong SFC licensed company：RO remains in office、The whole process of client asset transfer and China Securities Regulatory Commission approval
Hong Kong Securities and Futures Commission license 2026-06-22

Acquisition by Hong Kong SFC licensed company：RO remains in office、The whole process of client asset transfer and China Securities Regulatory Commission approval

From due diligence、RO transition to client asset migration with SFC approval，Combing No. 1、4、9 types of licensed companies acquire critical control points，Reduce delivery risk，Get compliance solutions now。
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Hong Kong SFC responsible officer (RO) configuration：Key points for recruitment and qualification review of licensed institutions
Hong Kong Securities and Futures Commission license 2026-06-09

Hong Kong SFC responsible officer (RO) configuration：Key points for recruitment and qualification review of licensed institutions

How can Hong Kong SFC licensed institutions find a suitable RO efficiently? This article breaks down the qualification thresholds、Recruitment process、Compensation Logic and Common Traps，Help enterprises shorten the onboarding cycle and stabilize the bottom line of compliance。
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Mainland securities firms go overseas to Hong Kong：SFC No. 1 and No. 2 license application requirements
Hong Kong Securities and Futures Commission license 2026-05-21

Mainland securities firms go overseas to Hong Kong：SFC No. 1 and No. 2 license application requirements

Mainland securities firms enter Hong Kong，The most important thing is SFC No. 1 and No. 2 licenses。This article explains in detail the application thresholds、RO requirements、time period、Materials List and Compliance Operations Essentials，Help enterprises avoid detours。
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