sfc licensed person的八卦，YOUTUBE和 Yahoo名人娛樂都在討論：

#11. Hong Kong SFC Reiterates Expectations for Licensed ...

General Principle 2 (Diligence) of the Code of Conduct for Persons Licensed or Registered with the Securities and Futures Commission (“Code ...

#12. 3. What types of activities require a license in your jurisdiction?

... for which a person is already licensed (such as Type 1 - dealing in securities)does not require additional licenses to be obtained. While the SFC does ...

#13. SFC licensees per firm - Webb-site.com

Row Name ROs Reps Total Reps v total % Licensed 2 Morgan Stanley Asia Limited 57 995 1052 94.58 2006‑04‑07 3 GOLDMAN SACHS (ASIA) L.L.C. 41 894 935 95.61 4 CLSA LIMITED 38 685 723 94.74 2013‑07‑09

#14. Regulated Functions – Licensing Requirements - AltQuest

The carrying out of a regulated function (as opposed to a regulated activity) requires the person to be licensed with the SFC (and consequently the failure ...

#15. WSG Article: Hong Kong: SFC Licensing FAQs - Deacons

For Type 9 regulated activity, the licensee: • shall not provide a service of managing a portfolio of futures contracts for another person unless it is for ...

#16. What is the difference between a licensed corporation and a ...

What does it mean by the commonly mentioned term “SFC license”? ... basic information regarding a licensed person or a licensed corporation, ...

#17. Hong Kong SFC licensing and compliance hints – March 2023

Separately, we understand that the SFC has resumed conducting in-person on-site inspections. We can assist licensed companies to prepare in ...

#18. memorandum of understanding between securities and ...

1.5 There are circumstances where an authorized insurer, a licensed insurance intermediary, an SFC-licensed person or a financial group may ...

#19. Chapter 29.2 - SFC's Code of Conduct for Persons Licensed ...

Due Diligence Guidelines | Chapter 29.2 - SFC's Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.

#20. Regulation - The Chin Family

Where an analyst is licensed, he must comply with the SFC's Code of Conduct ... is an SFC licensee on the Public Register of Licensed Persons and Registered ...

#21. Courses - CompliancePlus Consulting Limited

Anti-Money Laundering Training for Hong Kong SFC Licensed Persons, Insurance Authority's Licensed Persons and Trust & Company Service Provider License ...

#22. SFC Notification and Licensing Forms

BELOW will also trigger notification to SFC: •. Each controlling persons (i.e. director or substantial shareholder) of the licensed corporation.

#23. Exploring the Role of a Responsible Officer | Hong Kong - ICLG

The SFC has said that, "The RO of a licensed corporation is a person who bears primary responsibility for compliance with all applicable ...

#24. TOPIC 3 - OVERVIEW

1.3 Management Liability. 3.3. 1.4 General Duties of Management. 3.4. 2. CODE OF CONDUCT FOR PERSONS LICENSED BY OR. REGISTERED WITH THE SFC.

#25. SFC Licensing FAQs | HK Law Firm - Timothy Loh LLP

The most significant of these are the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission ("SFC ...

#26. Securities and Futures Bureau, Financial Supervisory ...

Administrative Sanction ; Licensed Market Participants. Licensed Market Participants · GO Law Retrieving System ; Self-Regulatory Organizations. Self-Regulatory ...

#27. SFC introduces manager-in-charge regime to heighten senior ...

On 16 December 2016, the Securities and Futures Commission (SFC) ... person to be the manager-in- charge (MIC). ... not a licensed person or a licence.

#28. Securities and Futures (Licensing And Conduct Of Business ...

Form 25 - Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)( ...

#29. SFC Releases Detailed Virtual Asset Exchange Guidelines for ...

The VA Licensing Regime proposes a mechanism to deem persons as licensed, while their application is being assessed. An existing virtual asset ...

#30. Setting Up In Hong Kong: A Guide To Applying For An SFC ...

In this article, we provide an overview of SFC licensing requirements, ... a person from having to apply for a Type 1 license if the person, ...

#31. When Do You Need an SFC License for Your Company?

How Much Capital Do I Need To Apply for an SFC Licence? ... in Hong Kong) to the public, whether on behalf of another person or by yourself ...

#32. SFC Licensing Monday 5 February 2018 - TTN Taxation

by the person, except …” Page 12. Licensed Corporations. • Must be a company incorporated in Hong Kong or a.

#33. Cap. 571 Securities and Futures Ordinance Schedule 1 ...

means accredited to a licensed corporation with the Commission's ... means automated trading services which a person is authorized to ...

#34. Do Hong Kong private equity firms need to be licensed with ...

Indeed, the SFC states within its various licensing materials that in order for someone to be considered as requiring an SFC license, ...

#35. Hong Kong SFC Licensing And Compliance Hints - May 2022.

The licensed firm would need to obtain the SFC's prior approval for the person to be an authorised officer for signing financial resources ...

#36. Hong Kong SFC clarifies competence requirements for ...

The Circular focuses on the eligibility criteria for licensed persons to be approved to carry out Type. 9 regulated activity of asset management with respect to ...

#37. Licensed Corporation in Hong Kong: What Is It? - HKWJ Tax ...

The SFC was unsympathetic towards the corporation's explanations that ... Furthermore, in a licensed corporation the person monitoring the ...

#38. Introduction to Regulatory Framework - HKEX

... SFC or fall within one of the licensing exemptions. In addition, the rules promulgated by the Stock Exchange and Futures Exchange require any person who ...

#39. FINANCIAL SERVICES COMPLIANCE - Davis Polk

The SFC regulates licensed (or registered) institutions on the basis of the ... All licensed persons – firms or individuals – must also, ...

#40. Hong Kong's Insurance and Securities and Futures ...

... information on persons who are both authorised insurers/licensed insurance intermediaries and licensed by the SFC (dual licensed persons); ...

#41. Hong Kong SFC disciplines first manager-in-charge - HSF Notes

A “person involved in the management of the business of a licensed corporation” includes an MIC. Key takeaways and looking ahead. The SFC will ...

#42. SFC's “Manager-In-Charge” regime - a new reform to embrace ?

been deemed senior management of a licensed corporation, the SFC ... licensed person, (ii) a RO, but also (iii) a person (licensed or not) ...

#43. First Hong Kong criminal conviction for actively marketing ...

The SFC convicted ETRADE Securities (Hong Kong) Limited for actively ... the licence requirements under section 114 applies if (a) a person ...

#44. Hong Kong SFC and Insurance Authority Sign MoU to ...

There are circumstances where an authorised insurer, a licensed insurance intermediary, an SFC-licensed person or a financial group may fall ...

#45. SFC's clarification on licensing requirements for private equity ...

On January 7 2020, the Securities and Futures Commission (“SFC”) ... to other persons, the firm is generally required to be licensed for ...

#46. Manager-in-charge regime: What licensed corporations need ...

The SFC does not approve or license MICs. However, an individual appointed as the MIC responsible for either the Overall Management Oversight or a Key Business ...

#47. Update on Manager-in-Charge Regime - Dentons Hong Kong

MIC regime was fully implemented by the SFC on 17 October 2017 to ... For an MIC who is not a licensed person or a licence applicant, ...

#48. COVID-19: Hong Kong Securities & Futures Commission ...

Under the Securities and Futures (Licensing and Registration) ... of the SFC's Code of Conduct, which provides that a licensed person should ...

#49. Hong Kong Licensed Investment Advisers' Duty to Protect ...

The SFC will be guided by the Code's requirements, including the general principles when assessing whether licensed persons are “fit and proper” ...

#50. Recording Orders for Discretionary Accounts - ONC Lawyers

However, very often licensed persons misuse discretionary accounts and ... In November 2014, SFC took disciplinary action against Mr. Leung Wai Hung ...

#51. A reminder of your self-reporting obligation - Hauzen LLP

If you are a SFC-licensed intermediary, then you are subject to the ... 12.5 of the Code of Conduct for Persons Licensed by or Registered ...

#52. Licensing Examination for Securities and Futures Intermediaries

The LEs have been recognised by the Securities and Futures Commission (SFC) for meeting the competence requirements for individuals in relation to the ...

#53. Hong Kong Licensed Corporations Alert 香港持牌法团 ... - J M L

Under Part IX of the SFO, ROs, a licensed person and all members of the senior management (even if they are not licensed) are regulated persons. The SFC may ...

#54. The Private Equity Review: Hong Kong

The Hong Kong Securities and Futures Commission (SFC) is the principal ... or not offered by a licensed person, must be authorised by the SFC unless an ...

#55. What Is Sfc License | Servcorp HK

Under the Hong Kong regulatory system, anyone who intends to undertake regulated activities (RA) must apply for a specific sort of RA ...

#56. New SFC Measures to Increase the Accountability of Licensed ...

– “regulated persons” mean: a licensed corporation, a responsible officer or licensed representative, or a “person involved in the management of ...

#57. Legco Brief - Miscellaneous Rules _Eng_

Securities and Futures (Licensed Persons and Registered Institutions) Rules. (LPRI Rules). The SFC released a consultation document and an exposure ...

#58. Hong Kong Securities and Futures Commission attributes ...

Implications of the Hong Kong SFC's recent suspension of a ... or (ii) a person involved in the management of the business of a licensed ...

#59. SFC License Requirements in Hong Kong - Sleek.com

NEED TO SPEAK TO SOMEONE? We'd love to help. Share your contact details and we'll call you back!

#60. SFC takes another step in strengthening senior management ...

regulated persons who are not licensed by the SFC. This may now all change following the SFC's. 16 December 2016 “Circular to Licensed Corporations ...

#61. ISDA Response to SFC Consultation on OTCD

Do you have any comments or concerns about how we propose to carve out persons licensed for Type 12 RA from the scope of “advising on OTC ...

#62. Hong Kong SFC enforces Employee dealing non-compliance

Hong Kong Securities & Futures Commission (SFC) has suspended the ... 12.2 of the SFC Code of Conduct for Persons Licensed by or Registered ...

#63. SFC proposes to expand its enforcement powers - Insights

SFC's consultation on proposed amendments to the Securities and ... Code of Conduct for Persons Licensed by or Registered with the SFC (the ...

#64. New Hong Kong Securities and Futures Commission Anti ...

In general, the Updated Guideline reflects strengthened FATF minimum standards in several high-risk areas. However, it also gives SFC licensed ...

#65. The Hong Kong Securities and Futures Commission ("SFC ...

The SFC has always had in place a Code of Practice for Persons licensed or registered with the SFC and all licensed entities are required to follow the ...

#66. 10 FAQs when applying for an SFC License in Hong Kong

These SFC licenses are granted by the Hong Kong Securities and Futures ... Code of Conduct for Persons Licensed by or Registered with the ...

#67. Memorandum of Understanding between Securities and ...

Futures Commission (SFC) of 54/F, One Island East, 18 Westlands Road, ... SFC if the person is a licensed person within the meaning of ...

#68. Exploring the Role of a Responsible Officer - Hong Kong Lawyer

The SFC has said that, "The RO of a licensed corporation is a person who bears primary responsibility for compliance with all applicable ...

#69. Hong Kong SFC Employee Dealing Compliance: How Firms ...

(iv) if the licensed or registered person provides services in securities or futures contracts listed or traded on a recognized stock market ...

#70. LCQ2: Regulation of securities dealers

(3) Currently, the SFC imposes stringent regulatory requirements on licensed corporations (including securities introducing brokers). Any person ...

#71. Hong Kong's New Requirements for “Senior Management” of ...

The regime requires SFC-licensed corporations to: reassess their ... for which a person is licensed that, in the opinion of the SFC, ...

#72. Seeking approval from the SFC for the transfer of shares of a ...

SFC has reiterated in the June Circular that licenses are only granted to ... a fit and proper person means one who is financially sound, ...

#73. AoF Thematic Programme - SFC's Regulation on Virtual Assets

Ms Clara Chiu, Director of Licensing & Head of Fintech Unit of Securities and Futures Commission, introduced the SFC's regulatory framework ...

#74. Hong Kong counsels seek better crypto protections

Man looking at currency trading app on his smart phone ... to find out about the “widest scope” the SFC will license them to operate under.

#75. GNU General Public License - Wikipedia

The GNU General Public License is a series of widely used free software licenses that ... problems in the GPLv2 license that could let someone exploit GPL-licensed ...

#76. [SOLD] Profile of an SFC Licensed Corporation 證監會持牌 ...

Type of Licence (RA), Type 1,2,4,5,9. Licence Conditions. Type 1, Dealing in Securities (HK Stock Trading, US Stock Trading, ...

#77. Endorsing bodies: Innovator Founder and Scale-up visas

All content is available under the Open Government Licence v3.0, except where otherwise stated. © Crown copyright.

#78. Contact Us - Hyundai Motor Finance

Licensed by the Connecticut Department of Banking to do business in Connecticut under License Numbers SFC-1885, SFC-BCH-931398, SFC-BCH-20110 ...

#79. Georgia Department of Community Health

The Georgia Department of Community Health is one of Georgia's four health agencies serving the state's growing population of over 10 million people. DCH s.

#80. Agile and Scrum Training & Certification

Certified ScrumMaster. Intro course for those wishing to fill the role of Scrum Master or Scrum team member. Prerequisite: none.

#81. Treatment of ME/CFS | CDC

There is no cure or approved treatment for myalgic encephalomyelitis/chronic ... good health and would benefit a person with or without any chronic illness.

#82. Reuters Connect

The most flexible subscription in the market, allowing you to license content types from our marketplace under a single, metered subscription.

#83. NASM - Personal Training & Fitness Certifications - Start Online!

NASM offers the best in personal training and fitness certifications! ✓ 0% down ✓ Get certified online ✓ #1 certification provider in the industry.

#84. Top 100 SNES Games of All Time - IGN.com

... Animated Series was unquestionably the best cartoon to come out of the '90s, and its license thankfully wasn't passed over for adaptation into a game.

#85. Selenium

Selenium automates browsers. That's it! What you do with that power is entirely up to you. Primarily it is for automating web applications for testing ...

#86. Personal Banking | Stanbic Bank Kenya

Stanbic Bank continues to serve the people of Kenya with our range of personal banking products and solutions. Choose from a variety of financial solutions ...

#87. Hong Kong to crypto exchanges get a securities brokers ...

One of the latest regulations in Hong Kong requires digital asset exchanges to be licensed by the Securities and Futures Commission (SFC) to ...

#88. Sagicor One

... is a majority owned subsidiary of the Sagicor Financial Corporation (SFC) ... SIB is a facultative broker licensed by the Financial Services Commission.

#89. Sfc Offline

Sfc OfflineOnce system restore windows open, normally it will suggest a restore ... Hong Kong investors conducted by a licensed or registered person via .

#90. Ceo Assistant - Gongzuo

... Assistant Company Overview KTF Capital Management (the “Company” hereafter) is a Hong Kong based SFC-licensed asset management company.

#91. COVID-19 | LDC Public Health, KS - Official Website

sfc Opens in new window LDCHEALTH.ORG/BOOKING. colorbad ... The CDC recommends wearing a face mask when you are sick or caring for someone with COVID.

#92. 50 Best Super Nintendo (SNES) Games Of All Time

... only disappointing thing is that the ending mentions 'Shadowrun II' and whilst games based on the license appeared on the Mega Drive, ...

#93. Warning to borrowers over firms that have no authority to offer ...

It is a criminal offence for an unauthorised firm or person to provide ... which is the designation used to indicate a licensed lender.

#94. Bayada Hiring Process. Engineering, Healthcare & Life-sci.

Non-Licensed Home Care Field Employees are eligible for any of BAYADA's group ... The process took about 6 weeks and consisted of an in person interview and ...

#95. Use SFC Scannow to Repair Windows System Files

Sfc /scannow will inspect all of the important Windows files on your computer, ... or as a resource for a tech support person that might be helping you out.

#96. People’s Republic of China–Hong Kong Special Administrative ...

The SFC has power to impose restrictions on a licensed or registered person as regards its business activities or dealing with assets or maintenance of ...

#97. International Regulation of Derivative Markets, Products and ...

A.1 . above , any person desiring to engage in an investment trust management ... authorized by the SFC depends on the functions performed in Hong Kong .