SFC(Securities & Futures Commission of Hong Kong) Licences

Regulated Activities

• Type 1 Dealing in securities (证券交易)
• Type 2 Dealing in futures contracts (期货合约交易)
• Type 3 Leveraged foreign exchange trading (杠杆式外汇交易)
• Type 4 Advising on securities (就证券提供意见)
• Type 5 Advising on futures contracts (就期货合约提供意见)
• Type 6 Advising on corporate finance (就机构融资提供意见)
• Type 7 Providing automated trading services (提供自动化交易服务)
• Type 8 Securities margin financing (提供证券保证金融资)
• Type 9 Asset management (提供资产管理)
• Type 10 Providing credit rating services (提供信贷评级服务)

References

• Schedule 5 of the SFO stipulates
• Do you need a licence or registration?
• Regulated activities FAQ