Securities Brokerage licence

[SOLD] Profile of an SFC Licensed Corporation 證監會持牌公司的資料

Type of Licence (RA) Type 1,2,4,5,9 Licence Conditions Type 1, Dealing in Securities (HK Stock Trading, US Stock Trading, Margin Financing) Type 2, Dealing in Futures Contracts (HK Futures and Options, Global Futures and Options.) Type 4, Advising on Securities Type 5, Advising on Futures Contracts Type 9, Asset Management (For Type 9 regulated activity, …

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The Beginner’s Guide to Financial Services – Types of Financial Licenses

In any country, a well-functioning financial system is essential for the economy, businesses, and consumers. Under the robust fiscal system, a financial regulatory regime is necessary to ensure the financial system’s safety and soundness, including the licensing system, especially for businesses with nature related to financial services.  As the industry evolves with technology advancements, there …

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