Regulatory context

The Securities and Futures Commission (SFC) regulates financial services and markets. The SFC is an independent non-governmental statutory body, which is responsible for regulating the securities and futures markets in Hong Kong since 2003.



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Regulatory context

The SFC aims to maintain and promote the fairness, efficiency and transparency of the securities and futures industry, minimise crime and misconduct and reduce risks in the securities and futures industry, provide protection for members of the public investing in or holding financial products and maintain the financial stability of Hong Kong. The SFC requires that any person or firm who carries on a regulated activity in Hong Kong must be licensed or registered, or otherwise exempt.

The legislation governing all matters pertaining to the regulated financial activities is the Securities and Futures Ordinance (“SFO”) (Chapter 571). The SFC administers the SFO.

Sophie Grace will work closely with you to submit an application for a licence to the SFC and ensure that your firm complies with the regulations.