Licensing
Topic Last Updated
"Actively markets" under section 115 of the SFO 17 Mar 2003
Associated entities 25 Jul 2003
Capital Investment Entrant Scheme relating to financial intermediaries 18 Nov 2003
Closer economic partnership arrangement 21 Apr 2017
(Updated on 4 Aug 2022)
Companies entering the industry for the purposes of managing real estate investment trusts (REITs) 2 Sep 2015
(Updated on 26 Jan 2022)
Competence requirements for individuals 23 Jun 2017
(Updated 26 Jan 2022)
Credit rating agencies 21 Apr 2011
Disclosure of investigations commenced by licensed corporations in the notifications of cessation of accreditation 21 May 2019
Family Offices 8 Sep 2020
Insurance requirements applicable to certain licensed corporations 31 May 2022
Licensing related matters in light of the COVID-19 pandemic 31 Mar 2020
(Updated on 4 Mar 2022)
Measures for augmenting senior management accountability in licensed corporations 17 Oct 2017
(Updated on 26 Jan 2022)
Outside directorships and business interests 21 Apr 2017
Premises for business and record keeping 31 Oct 2019
(Updated 10 Dec 2020)
Presentation materials on new measures enhancing licensing process 16 May 2019
(Updated 26 Jan 2022)
Sponsor regime 8 Oct 2013
(Updated 26 Jan 2022)
TC Adviser Guidelines 26 Jan 2022
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