Obtaining a brokerage license in Hong Kong | Law&Trust International

Obtaining a brokerage license in Hong Kong with Law&Trust International

Brokerage activity in any jurisdiction usually starts with the acquisition of brokerage license, and Hong Kong is not an exception to the rules.

In this jurisdiction, in order to obtain permission for brokerage activity, it is necessary to apply to special commission (the Commission on Securities and Futures of the Hong Kong Special Administrative Region), which deals with such issues in Hong Kong.

The company registered in the above-mentioned special administrative region of the People's Republic of China is already a potential applicant for obtaining license. However, in order to obtain permission to carry out brokerage activities in Hong Kong, it also has to fulfill certain additional requirements.

These requirements include the availability of information that confirms the fact of sufficient amount of capital and assets. Moreover, there are certain standards and requirements regarding the management and the experience of beneficial owners in the business being discussed.

For more detailed information regarding these requirements, contact the lawyers of Law&Trust International. The answer can be received by phone, by means of chat or during personal conversation in office of the company.

The types of licenses are divided into several groups, and the list of services of these groups includes provision of valuation services for credit rating, consultation concerning securities followed by the possibility of purchase/sale, advice on corporate finance or futures or futures trading.
Further, the foregoing can also include attracting external financing for forex services, providing services allowing to manage assets. The last element in the list is the provision of trading systems (automatic one).

Information and documents for submission

Legislation of Hong Kong provides for mandatorily submission of documents to confirm certain facts regarding the company applying for brokerage license. Such documents should confirm that financial solvency of the company, good standing, as well as transparent and accurate plan for provision of financial investment services. Compliance with the rules of minimum authorized capital, which the company must have, should also be taken into account.

Peculiarities of the process of obtaining license

The first step is to purchase or register a company in Hong Kong. Next step is establishment of office in this jurisdiction and employment of personnel with the appropriate level of qualification. Obtaining SFC license will be the final step.


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