SFC License Application & Compliance Support

We offer specialized services for the application of Securities and Futures Commission (SFC) licenses in Hong Kong, including:

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1. Review and evaluate the background of the substantial shareholder(s) and ownership structure.

2. Review and evaluate the qualifications of the proposed Responsible Officers of your company.

3. Provide solutions and recommendations to business plan, ownership structure, organization structure and operational policies.

4. Prepare SFC License Application Documents, including the following supplementary items:

​(1) Business Plan

(2) Operations Manual

(3) Compliance Manual

(4) Business Contingency Plan (BCP)​

5. Submit the relevant SFC Application Forms for both LICENSED CORPORATION and RESPONSIBLE OFFICERS to obtain License Approval.

6. Handle enquiries from the SFC and address any questions raised by the SFC on License Applications until the Licenses are approved by the SFC.

7. Deliver the full set of copies of the SFC License Application Documents to client.