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SFC enhances access to licensing information


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The Securities and Futures Commission (SFC) today published a comprehensive Licensing Handbook to provide easier access to licensing information. The licensing section of the SFC website has also been revamped to improve the user experience.

The new Licensing Handbook consolidates information previously issued by the SFC in its Licensing Information Booklet and in frequently asked questions (FAQs) and circulars (Note 1). Common questions asked in the more than 30,000 licensing-related enquires the SFC receives each year (Note 2) were taken into account when compiling the handbook.

For convenient cross-referencing of statutory provisions and SFC publications, hyperlinks were included in the Licensing Handbook and also added to the licensing section of the SFC website. Members of the public are encouraged to consult the website for answers to their questions about licensing and other SFC-related matters.

“With the Licensing Handbook and more user-friendly webpages, the industry and the general public will be able to find information more quickly without the need to refer to multiple publications,” said Ms Julia Leung, the SFC’s Executive Director of the Intermediaries Division.



  1. Consolidating this information in a single document has enabled the SFC to delete the Licensing Information Booklet as well as about 80 — approximately one-third — of its licensing-related FAQs. Various licensing guidelines, while still published as separate documents, are attached to the Licensing Handbook as appendices for ease of reference.
  2. Among other topics, common enquiries are mainly about how to set up a new licensed corporation, which types of licences are required for the various regulated activities, and competence requirements for licensed individuals.

Page last updated
: 21 Apr 2017

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Regulator Information

Abbreviation: SFC
Jurisdiction: Hong Kong

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