Licensing & Registration in Hong Kong
At Waystone, our team of experienced compliance professionals has a deep understanding of the licensing and registration requirements set by the Securities and Futures Commission (SFC) in Hong Kong. We carefully navigate the process, assisting clients from initial business setup through to ensuring ongoing compliance with all regulatory obligations.
Our clients, such as fund managers, investment advisers and brokers, are provided with expert advice and guidance on all aspects of SFC licensing requirements, ensuring a seamless application and company registration process.
Our team of compliance specialists can assist with the following SFC licensing and regulatory requirements:
- advising on the SFC-specific licensing requirements
- advising on liquid capital requirements
- preparation and submission of application forms
- negotiating licence conditions with authorities
- preparation of all documentation relating to operations, corporate governance and risk management obligations
- liaising with SFC and other local regulators.
Support services for Responsible Officers and Licensed Representatives
In addition, we can assist each responsible officer and licensed representative in the following ways:
- advising on competency requirements and on available waivers (where applicable)
- assistance to complete and prepare CVs
- liaising with the authorities on the assessment of the ‘fit and proper’ test of individuals.
Why choose Waystone Compliance Solutions?
With a deep understanding of the SFC licensing and registration requirements, Waystone provides a comprehensive, hands-on approach to help businesses navigate Hong Kong’s complex regulatory landscape. From initial setup to maintaining ongoing compliance, our dedicated team of compliance experts manages every step with precision and care.
We provide strategic guidance and tailored solutions for financial institutions across sectors, including fund managers, insurance brokers, and payment services providers, ensuring a seamless and efficient SFC licensing process.
For expert guidance on SFC licensing and regulatory compliance in Hong Kong, contact our APAC Compliance Solutions team today.
A Guide to Applying for a Type 9 SFC Licence in Hong Kong
In Hong Kong, the Securities and Futures Commission (SFC) is the regulatory body responsible for overseeing financial markets and ensuring the integrity and stability of the financial services industry.