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Important Legal Information about the Public Register of Licensed Persons and Registered Institutions

The Public Register of Licensed Persons and Registered Institutions is a database of (i) licensed persons or registered institutions under the Securities and Futures Ordinance (SFO) which carry on securities, futures and leveraged foreign exchange-related business, and (ii) licensed persons under the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) which carry on a business of providing a VA (virtual asset) service, in Hong Kong (See “Licensing Handbook” and “Licensing Handbook for Virtual Asset Trading Platform Operators” posted on this website for further information).

This Register also displays the licence or registration records of persons or institutions who were previously licensed or registered under SFO or AMLO. This Register however, does not provide records of persons who were previously executive officers of registered institutions.

Pursuant to section 136(4) of the SFO and section 53ZRH of the AMLO, the purposes of this Register are to enable any member of the public to ascertain whether he is dealing with a licensed person or a registered institution in matters of or connected with any regulated activity under the SFO or with a licensed person in matters of or connect with any VA services under the AMLO, and to ascertain the particulars of the licence or registration of such persons or institutions (as the case may be).

As required by the Personal Data (Privacy) Ordinance, you may only use the information provided in this Register for the specified purposes as set out above.

This Register is updated daily at the end of the day. Consequently, it may not contain the most up-to-date information of the licensed persons and registered institutions. Registration/licensing status may change between daily updates. If you have any doubt, please contact the SFC directly for the most current information.

You are also advised to check the “Enforcement news” section of this website for details of publicly announced SFC enforcement actions. You may also contact the SFC at enquiry@sfc.hk for details of earlier enforcement actions.

By publishing this Register, the SFC does not guarantee the performance or creditworthiness of any licensed person or registered institution. 

Please also refer to the “Disclaimer” section of our website for guidance on the position of the SFC in relation to information which appears on our website.

Last update: 26 May 2023

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