Hong Kong Securities and Futures Commission(SFC)

Hong Kong Securities and Futures Commission license 2026-08-13

Statutory Responsibilities of Hong Kong Licensed Corporate Compliance Officers (MLROs)：Suspicious Transaction Report (STR) and supervision

This article systematically analyzes the legal responsibilities of Hong Kong licensed corporate MLRO in linking suspicious transaction reporting (STR) and supervision.、Practical process and risk control，Help organizations build executable AML compliance systems。

Read details

Cryptocurrency and Web3 License 2026-08-13

Questions and Answers on Hong Kong VASP License Application Requirements：SFC retail rules and cold wallet asset isolation details

From application thresholds to operational details，System analysis of core requirements for Hong Kong VASP license，Focus on dismantling SFC retail rules and cold wallet asset isolation，Help institutions efficiently establish implementable virtual asset compliance systems。

Read details

Compliance and Anti-Money Laundering(AML) 2026-08-13

Global financial license regulatory trends in 2026：Hongkong、Singapore、Which EU markets are tightening?

Financial supervision will become significantly stricter in 2026：Hongkong、Singapore、EU simultaneously improves anti-money laundering、Substantive Operations and Governance Standards。This article breaks down key changes and corporate compliance responses。

Read details

Hong Kong Securities and Futures Commission license 2026-08-13

Synergy effects of Hong Kong’s 149 license portfolio：Why do asset management companies need a one-stop financial compliance layout?

Hong Kong license number 1/4/9 is not simply superimposed，It is the key for asset management institutions to achieve a closed loop of "fundraising-investment consulting-management"。This article breaks down the value of synergy、Compliance key points and implementation paths。

Read details

Hong Kong Securities and Futures Commission license 2026-08-13

Hong Kong Asset Management License No. 9 (Dajiu vs Xiaojiu)：Guidance on capital differences in holding client assets

Not sure whether you should apply for a major or minor? from client assets、capital、RO、From managed audits to SFC inquiries and annual maintenance, item-by-item assessments，Avoid choosing the wrong license structure，Obtain compliance implementation plan。

Read details

Hong Kong Securities and Futures Commission license 2026-08-13

Hong Kong Single Family Office SFC License Exemption：Applicable conditions and self-assessment

Starting from real implementation logic，Analyze how Hong Kong single family offices can achieve SFC license exemption under the compliance structure，and connect with tax relief policies，Taking into account regulatory safety and asset inheritance efficiency。

Read details

Hong Kong Securities and Futures Commission license 2026-08-13

Hong Kong 149 license combination boxing：1、4、The synergy effect of No. 9 plate and the expansion of cross-border asset management business

from 1、4、Number 9 border、RO allocation to annual review maintenance and cross-border asset management extension，Quickly determine whether the 149 combination is suitable for your business，Reduce the risk of unlicensed operations and inquiries，Get compliance solutions now。

Read details

Overseas funds and securities 2026-08-13

How do Hong Kong 149 asset management institutions distribute overseas fund products in compliance with regulations? Supervision red lines for cross-border sales

Systematic analysis of the core regulatory requirements for the distribution of overseas funds by Hong Kong's 149 asset management institutions、Common violation scenarios and practical risk control framework，Help institutions achieve steady and compliant growth in cross-border sales。

Read details

Hong Kong Securities and Futures Commission license 2026-07-21

Hong Kong SFC Licensed Institutions FRR (Financial Resource Rules) Declaration Guide：Liquid capital calculation and red line warning

This article comprehensively analyzes the FRR declaration logic of Hong Kong SFC licensed institutions，Override liquid capital calculation formula、Common deductions、red line threshold、Monthly reporting rhythm and early warning mechanism，Help the team establish an implementable continuous compliance system。

Read details

Hong Kong Securities and Futures Commission license 2026-07-19

Analysis of Hong Kong SFC No. 9 plate application case：team、Capital and review inquiries

Mainland asset management institutions apply for Hong Kong SFC license number 9，Can it be completed in 9 months? This article combines practical cases，Disassembly timeline、RO arrangement、Material Points and High Frequency Risks，Give executable path。

Read details