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As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we:

  • grant licences to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed under the Securities and Futures Ordinance;
  • maintain a public register of licensed persons and registered institutions;
  • monitor the on-going compliance of licensing requirements by
    • licensees
    • substantial shareholders of licensed corporations
    • directors of licensed corporations and substantial shareholders; and
  • initiate policies on licensing issues.

Last update: 22 Jan 2020

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