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

#11. SFC Licensing - MinterEllison HK

Our securities regulatory team assists financial services and securities firms to obtain licenses to carry out regulated activities in Hong Kong, ...

#12. SFC Licensing Application

Our SFC licensing specialists help our clients advise on the licensing regime under the Securities and Futures Ordinance (“SFO”) and apply for SFC licenses ...

#13. 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 ...

#14. Licensing Requirements and Limitations for SFC

CloudEngine 16800 V200R019C10 Configuration Guide - SFC ... To use the SFC function, apply for and purchase the license from the equipment vendor.

#15. SFC Licensing | Hong Kong Regulation - Kroll

Kroll provides comprehensive SFC licensing support to clients, from the initial corporate structuring stage through to obtaining authorization to engage in ...

#16. Food licences - Canadian Food Inspection Agency - Canada.ca

Under the Safe Food for Canadians Regulations (SFCR), certain food businesses will require a licence to conduct one or more activities.

#17. LaunchPlus Hong Kong | Get Started | SFC Licensing basic ...

Certain activities require regulation by the HK Securities and Futures Commission (SFC) if carried out in HK. Carrying out these activities without obtaining a ...

#18. WSG Article: Hong Kong: Temporary Licensing for Carrying ...

Hong Kong: Temporary Licensing for Carrying On SFC Regulated Activities. November, 2004 -. If a foreign fund company does not have any affiliates in Hong ...

#19. SFC License Definition | Law Insider

Define SFC License. means the license (Securities and Futures Ordinance (Chapter 571 of Laws of Hong Kong)) (CE number: ARP340) and the license (Securities ...

#20. 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 ...

#21. SFC Licensing - CompliancePlus Consulting Limited

SFC Licensing. We provide thorough and practical compliance consulting services to assist financial institutions including hedge fund managers and fund ...

#22. SFC warns NFTs may require licensing - Haldanes

SFC warns NFTs may require licensing. The Securities and Futures Commission (SFC) issued a statement on 6 June 2022 warning investors of the risks ...

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

Financial services “regulated activities” – The SFC supervises 10 types 1 of regulated activities (RAs) in Hong Kong. Companies (such as securities brokers ...

#24. Licensing under SFC - Fidelity Consulting Services Limited

Licensing under the SFC (SFC Licensing). License and registration ... What are the major regulatory requirements to be fulfilled in licensing application?

#25. OSL Receives License From Hong Kong ... - BC Group

OSL Receives License From Hong Kong Regulator, Becomes World's First SFC-Licensed, Listed, Insured & Big-4 Audited Digital Asset Trading Platform.

#26. Hong Kong to introduce licensing regime for virtual asset ...

Trading platforms that offer trading in VAs which are not securities (VA Exchanges) will be required to obtain a license from the SFC – see ...

#27. SFC Compliance & Licensing - ONC Lawyers

Our Asset Management & Funds team has solid experience in providing compliance and regulatory requirements for licensed corporations or persons, fund management ...

#28. Licenses - Assured Asset Management

Hong Kong's Securities and Futures Commission (SFC) requires individuals and entities involved in ten “regulated activities” to be license by or registered ...

#29. SFC Licensing Exams Training & Coaches in Hong Kong

David has been providing financial training to executives. Who have all benefited from his clear explanations & attention to detail. Hire David today.

#30. Huobi applies for trading license with Hong Kong SFC

Huobi said on Thursday the Securities and Futures Commission (SFC) has lodged its Hong Kong unit's license application for virtual asset trading ...

#31. SFC License – Virtual Asset Trading Platforms - Sia Partners

SFC License – Virtual Asset Trading Platforms. Back in November 2018, the Hong Kong Securities and Futures Commission (SFC) announced a conceptual framework ...

#32. SFC licensing - iban-corp.com

Only Hong Kong companies (a private limited company or an overseas company registered in Hong Kong) can apply an SFC license. The Responsible Officers (ROs) ...

#33. SFC's additional guidance on licensing requirements for ...

New and existing PE firms and family offices in Hong Kong should take note of these circulars to ensure compliance with the SFC's licensing ...

#34. The SFC's and HKMA's Updated Guidelines on VA activities

The SFC's and HKMA's Updated Guidelines on VA activities - A significant tightening of permissible VA related activities for licensed ...

#35. SFC licensing, Securities, Shares, Asset Management, Broker ...

We are experienced in acting for clients in the entire licensing cycle – from initially obtaining the SFC license, to post licensing compliance and general ...

#36. HK OTC Derivatives Licensing Regime Closer to Implementation

Scott Carnachan at Deacons discusses the changes. The Securities and Futures Commission (SFC) previously consulted on amendments to the ...

#37. Hong Kong SFC registers 9.6% drop in license applications in ...

In the quarter, the SFC received 1,924 licence applications, ... The Hong Kong Securities and Futures Commission (SFC) has earlier today ...

#38. SFC provides licensing guidance for private equity firms and ...

On 7 January 2020, the SFC issued guidance on the licensing obligations of private equity (PE) firms and family offices which conduct ...

#39. Top Questions And Answers In Applying For An SFC License

What are the SFC licensing exam requirements & exemptions. The Hong Kong Securities Institute ("HKSI") offers exams which the SFC recognizes for ...

#40. SFC provided additional guidance on licensing obligations of ...

On January 7, 2020, the Securities and Futures Commission of Hong Kong (“SFC”) issued a circular seeking to provide guidance on the licensing obligations of ...

#41. SFC Licensing - Compliance Consulting Limited

SFC licensing services. ... Compliance Consulting Limited is your dependable partner throughout all stages of your licensing application process, ...

#42. Hong Kong SFC Issues Crypto Fund Licensing Conditions for ...

Hong Kong's Securities and Futures Commission (SFC) has published Proforma Terms and Conditions for Licensed Corporations which Manage ...

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

An SFC licence allows businesses or individuals to carry out regulated activities in Hong Kong. The licence is issued by the Securities and ...

#44. SB-1.pdf - Hong Kong Monetary Authority

for Persons Licensed by or Registered with the SFC. 4.5 Client Identity Rule Policy. 4.6 Regulatory requirements for selling of investment ...

#45. Hong Kong SFC License (Type 1,4,9) - Desfran

License expiry date: No limitation. Business nature: – HK and US Stock Brokerage – HK And Global Futures Brokerage Low Latency Warrant ...

#46. REGULATORY OVERVIEW - :: HKEX :: HKEXnews ::

must be licensed by the SFC to carry out the regulated activities, unless one of the exemptions under the SFO applies. Through licensing, the SFO regulates the ...

#47. Sfc type 6 license jobs - Oct 2022 - JobsDB

Browse and apply over 35 Sfc type 6 license jobs on JobsDB Hong Kong. Create job alert to receive latest Sfc type 6 license jobs.

#48. Securities And Futures Commission (SFC) - Investopedia

Hong Kong's SFC's operational units include corporate finance, policy, China and investment products, enforcement, supervision of markets, licensing and ...

#49. Hong Kong SFC publishes licensing conditions for virtual ...

This follows the SFC's statement of 1 November 2018 regarding the regulatory framework for virtual asset fund managers, fund distributors ...

#50. Customs Notice 20-01 - Safe Food for Canadians (SFC ...

Safe Food for Canadians (SFC) licence to import food to Canada Customs Notice 20-01 · food that is imported as part of the personal effects of an ...

#51. Securities and Futures Commission Licensing Requirements ...

The SFC released a new edition of the Licensing Handbook on February 1, 2019, and clarified that only the shares and debentures of Hong Kong ...

#52. Hong Kong confirms new licensing regime for virtual asset ...

Under the current regime, the SFC has no power to grant a licence to or supervise a platform that only trades non-security virtual assets or ...

#53. SFC clarifies licensing obligations of PE firms and family ...

On 7 January 2020, the Securities and Futures Commission (SFC) issued two circulars to clarify aspects of the licensing obligations ...

#54. Huobi Applies for Virtual Asset Trading Licenses from Hong ...

Huobi Applies for Virtual Asset Trading Licenses from Hong Kong's SFC · About Author · Related Blockchain/Bitcoin Articles.

#55. Obtaining an SFC Licence: 10+1 things to know - Allen & Overy

A company applying for a licence from the Securities and Futures Commission (SFC) may seem daunting but with careful thought and observation ...

#56. 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 ...

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

Hong Kong Securities & Futures Commission (SFC) has suspended the licence of a former representative of Mason Securities for Employee ...

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

2021年9月16日 — If you are a SFC-licensed intermediary, then you are subject to the self-reporting obligation as set out in paragraph 12.5 of the Code of ...

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

... a licensed corporation (LC) is required to notify the Securities and Futures Commission (SFC) on a number of matters, in particular, ...

#60. Securities and Futures (Licensing and Registration ...

register of licensed persons and registered institutions ... a licensed representative or an associated entity of an intermediary;.

#61. OSL wins formal licenses from SFC for digital assets - DigFin

OSL is now licensed as the first SFC-licensed, listed, insured, Big-4 audited digital asset trading platform for institutions.

#62. Obligations as a SFC License Applicant for ... - MCS Associates

As per Safe Food for Canadians Regulations [SFCR], it is the responsibility of the SFC license applicants to develop, implement, and maintain Preventive ...

#63. SFC Issues Guidance to Private Equity Firms and Family ...

In February 2019, the SFC's Licensing Handbook was updated to specifically note that private equity and venture capital firms may, ...

#64. OSL Receives License From Hong Kong ... - PR Newswire

OSL Receives License From Hong Kong Regulator, Becomes World's First SFC-Licensed, Listed, Insured & Big-4 Audited Digital Asset Trading ...

#65. Newsflash: SFC Licensing Guidance for Private Equity Firms

... regulated activities in Hong Kong would be required to be licensed by the SFC under the Securities and Futures Ordinance (SFO) 1.

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

Which licensing exam should a bank staff patake in? Is it regulated by the SFC or HKMA? What does it mean by the commonly mentioned term ...

#67. 10 FAQs when applying for an SFC License in Hong Kong

What is the application procedure for obtaining an SFC licence? I am an individual who wants to carry out a Regulated Activity. How can I obtain ...

#68. FSTB and SFC and Invest Hong Kong exchange viewpoints ...

... Mr Joseph Chan; the Director of Licensing and Head of Fintech unit of the Securities and Futures Commission (SFC), Ms Elizabeth Wong; ...

#69. Financial Supervisory Commission

Statistics; Banking Bureau · Securities and Futures Bureau · Insurance Bureau · Licensed Market Participants · NPL Ratio for Domestic Banks ...

#70. Securities and Futures Commission - Wikipedia

The Securities and Futures Commission (SFC) of Hong Kong is the independent statutory body ... HKSI Licensing ExaminationEdit. The Licensing Examination for ...

#71. Virtual asset trading platforms - new regulatory approach

Once the platform operator is licensed, the SFC's jurisdiction will take into account all relevant areas of operation, involving both security ...

#72. Senior Compliance Manager, Licensing (Investment Bank) jobs

Supervise the team in handling all licensing and regulatory matters with SFC; Advise on all SFC licensing matters; Supervise teams located in HK and India ...

#73. HK: SFC Clarifies the Licensing Requirements for the ...

HK: SFC Clarifies the Licensing Requirements for the Promotion, Offering or Sale of Investment Linked Assurance Schemes to the Public.

#74. Hong Kong's new crypto funds struggle to clear licensing ...

The licences introduced by Hong Kong's Securities and Futures Commission (SFC) late last year were among the first of their kind globally ...

#75. Crypto Webinar with Director of Licensing Clara Chiu - SFC

Clara Chiu, Director of Licensing & Head of Fintech Unit at The Securities and Futures Commission (SFC) of Hong Kong, and David Carlisle, Head of Policy and ...

#76. SFC: Licenses Must Be Obtained for NFT Capital Fundraising

In a press conference, the Securities and Futures Commission (SFC) of Hong Kong has affirmed the requirement of licensing for capital ...

#77. SFC licenses first virtual asset trading platform

The Securities and Futures Commission (SFC) announces that it has granted the first licence to a virtual asset trading platform in Hong Kong.

#78. The SFC narrows the proposed scope of the OTC derivatives ...

The SFC narrows the proposed scope of the OTC derivatives licensing regime. On 10 June 2020, the Securities and Futures Commission (the SFC) ...

#79. PE Firms and Family Offices on the SFC Radar - Tanner De Witt

The purpose was to highlight securities licensing requirements that affect private equity (PE) fund managers and family offices in Hong Kong. On ...

#80. HKSI LE EXAMS and SFC Licence Application and Exemption

This page is about HKSI LE EXAMS and SFC Licence Application and Exemption Videos, it also includes details related to LE HKSI Paper 1,2,3,5,6,7,8,9,12.

#81. Obtaining a financial services license in Hong Kong - Statrys

The Securities and Futures Commission (SFC); The Insurance Authority; The Mandatory Provident Fund Schemes Authority. There is also an entirely ...

#82. What it means to be an SFC-licensed Trade Finance platform ...

The SFC license helps to promote the development of an alternative asset class to Institutional Investors seeking to differentiate their ...

#83. Hong Kong SFC Refines OTC Derivatives Licensing Regime

Similarly, the SFC licensing regime will not cover providers of multilateral portfolio compression services (i.e., services facilitating the ...

#84. SFC fines and revokes the licence of Mega Capital (Asia ...

The Securities and Futures Commission (SFC) has revoked Mega Capital (Asia) Company Limited's. (Mega Capital) licence to advise on corporate ...

#85. Internal Audit Manager @ SFC licensed corporate - 4066346

Handling SFC licensing application, licensing matters, CPT requirement management etc. * Assist in ad hoc projects as required ...

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

Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.

#87. Exploring the Role of a SFC Responsible Officer - Gall Solicitors

The starting point is that only licensed representatives can be Responsible Officers. Therefore, all the usual licensing requirements to be a ...

#88. Circular to intermediaries, responsible officers and licensed ...

The Securities and Futures Commission (SFC) will waive the annual licensing fees of all intermediaries and licensed.

#89. Oversight

The Securities and Futures Commission of Hong Kong (SFC) launched a three ... The SFO governs licensing and registration of intermediaries, ...

#90. Hong Kong Securities Laws Violations: SFC's Case Against ...

As CRAs are now regulated by the SFC, the “Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission” ( ...

#91. Safety Fitness Certificate - Motor Carrier - Province of Manitoba

Manitoba requires all motor carriers and operators of regulated vehicles to have a safety fitness certificate (SFC). Manitoba Transportation and ...

#92. PN820 The audit of licensed corporation and associated ...

THE AUDIT OF LICENSED CORPORATIONS AND. ASSOCIATED ENTITIES OF INTERMEDIARIES. 7. PN 820 (December 2010). 13. The regulatory powers of the SFC are primarily ...

#93. Legislative proposal to refine the scope of regulated activities ...

that licensing regime in consultation with market participants, they have raised with the Securities and Futures Commission (“SFC”) some issues which may ...

#94. Nuclear Regulatory Commission Issuances: Opinions and ...

Therefore , this is not a basis for denying SFC's application to renew the license . 4. Licensing Amendments Adversely Affect Safety The Petitioner asserts ...

#95. Is StashAway a Hong Kong company? Is StashAway licensed ...

StashAway Hong Kong Limited is our legal entity and is licensed to conduct ... Commission (SFC) of Hong Kong for both retail and professional investors.

#96. Entrepreneurship in Finance: Successfully Launching and ...

1.2.2 Who or What Needs to Be Licensed? ... It's important to note that the SFC will only license individuals performing regulated activities in Hong Kong, ...

#97. Using System File Checker in Windows - Microsoft Support

(Note: This step may take a few minutes to start and complete.) After you see a message that says "The operation completed successfully," type sfc /scannow ( ...