HK Compliance Hub

04 香港证监会1号、4号、9号牌照申请详细指引

香港作为国际金融中心，其证券及期货事务监察委员会（SFC）的牌照制度为金融机构进入亚洲市场提供了合法资质。1号牌照（证券交易）、4号牌照（就证券提供意见）和9号牌照（资产管理）是其中最受关注的三大核心类别。本文将为您提供一份详细的申请指引，涵盖各项要求、流程、文件准备及常见问题，助您高效规划持牌路径。 使用说明：本文旨在用简明易懂的语言概括说明牌照申请的基本流程，让申请牌照的主体有所了解，指引并非事无巨细，也并未直接引用监管规定，部分内

Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients

The Securities and Futures Commission (SFC) recently reviewed the account opening practices of 12 licensed securities brokers (Review) and have identified, among other things, significant deficiencies in due diligence on

Compliance Tools

下面是我制作的网页工具，希望对大家有帮助 合規工具箱 (Compliance Toolkit) 包括： SFC 持续培训 (CPT) 时数计算器 v10 可以计算SFC持牌人员需要完成的CPT小时数 SFC 牌照年費預算計算器 可以计算公司每年的牌照年费预算（注意，新申请牌照的临时牌照费用没有包括在内）

Using AI Browsers in Legal and Compliance Work – Comet Recommended

China Securities Regulatory Commission Opens ETF Options Trading to QFIs

Translated by AI: I. Regulatory Policy Background On June 18, 2025, China Securities Regulatory Commission (CSRC) Chairman Wu Qing delivered a keynote speech at the 2025 Lujiazui Forum (Full speech:

Comparison of Hong Kong OFC and Cayman SPC

Note: The following focuses mainly on a comparison between the umbrella-type Hong Kong Private OFC (Open-ended Fund Company) and the Cayman SPC (Segregated Portfolio Company)

Applying for Hong Kong SFC Type 1, 4, and 9 Licenses Handbook

Hong Kong, as a global financial center, provides a well-established licensing regime through the Securities and Futures Commission (SFC)