Expert analysis on SFC and IA licensing in Hong Kong
Showing 24 articles
How to build an effective compliance department for your licensed firm. Covers staffing, policies, monitoring systems, and regulatory expectations for SFC and IA regulated entities.
Key regulatory developments shaping Hong Kong's financial services landscape in 2026. Analysis of SFC and IA policy directions, emerging compliance themes, and what licensed firms should prepare for.
Comprehensive guide to obtaining a Virtual Asset Service Provider licence in Hong Kong. Covers the SFC's VASP regime, application requirements, AML/CFT obligations, and operational standards.
Essential guide to Anti-Money Laundering and Counter-Terrorist Financing compliance for licensed firms in Hong Kong. Customer due diligence, suspicious transaction reporting, and record-keeping obligations.
SFC and IA cybersecurity requirements for licensed corporations and insurers. Covers data protection, incident response, system security, and regulatory expectations for IT governance.
How to prepare for an SFC routine inspection. Common focus areas, documentation requirements, staff interview preparation, and best practices to ensure a smooth inspection process.
Everything you need to know about the HKSI Licensing Examination. Exam papers, study strategies, pass rates, exemptions, and how each paper maps to SFC regulated activities.
A strategic guide for overseas financial firms looking to establish a licensed presence in Hong Kong. Entity structuring, regulatory pathway, key person requirements, and market entry considerations.
Understanding the Manager-In-Charge regime introduced by the SFC. Roles, responsibilities, core functions, and practical guidance on compliance with the MIC framework.
Complete guide to the Insurance Intermediaries Qualifying Examination. Paper structure, study tips, exemptions, and how IIQE results relate to your IA licensing application.
Detailed breakdown of liquid capital requirements for SFC-licensed corporations. Minimum paid-up capital, ongoing financial requirements, FRR calculations, and common compliance pitfalls.
Should you acquire an existing SFC-licensed company or apply for a new licence? Pros, cons, costs, timelines, due diligence requirements, and SFC's change of control process.
A comparative analysis of SFC and IA licensing regimes. Understand the differences in scope, requirements, costs, and timelines to determine the right licence for your business.
Detailed breakdown of the SFC licensing application timeline from preparation to approval. Application fees, annual fees, expected processing times, and strategies to avoid delays.
Understanding the fit and proper requirements for individuals seeking licensing from the SFC or IA. Competence, integrity, financial soundness, and how regulators assess applications.
Everything about the SFC Responsible Officer role. Eligibility criteria, experience requirements, supervisory duties, and common reasons for RO application rejections.
Guide to becoming an IA Technical Representative. Qualification requirements, registration process, ongoing CPD obligations, and responsibilities within an insurance broker company.
Comprehensive guide to obtaining an SFC Type 9 (Asset Management) licence. Capital requirements, RO qualifications, investment restrictions, and practical application strategies.
How to develop a robust Business Continuity Plan for licensed financial firms. SFC and IA requirements, BCP components, testing protocols, and regulatory expectations.
Your compliance responsibilities after obtaining your licence. Ongoing reporting, annual returns, notification requirements, and how to maintain good standing with the SFC or IA.
Everything you need to know about applying for an SFC Type 1 (Dealing in Securities) licence in Hong Kong. Eligibility criteria, capital requirements, RO requirements, and step-by-step application process.
Step-by-step guide to obtaining an insurance broker company licence from the IA. Capital requirements, PI insurance, key person requirements, and the full application process.
What SFC and IA regulators expect regarding office premises for licensed firms. Location, layout, security requirements, IT infrastructure, and the trend toward flexible office arrangements.
Practical guide to opening a corporate bank account in Hong Kong for licensed firms. Bank selection, required documents, common challenges, and tips to expedite the process.
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