Licensing and Registration Requirements in Hong Kong
Navigate Hong Kong's regulatory landscape with confidence and ensure full compliance
Duration / CPT Hours
1.25 Hours
Level
Professional
Format
Recorded Video
Course Fee
Free
Course Overview
This comprehensive CPT course is designed to provide practical insights into navigating Hong Kong's regulatory landscape for financial services. Whether you're launching a new venture, expanding operations, or seeking to maintain compliance, this course delivers essential guidance on licensing and registration under the Securities and Futures Ordinance (SFO).
Participants will gain a clear roadmap for understanding regulatory obligations, preparing applications, and maintaining good standing with the Securities and Futures Commission (SFC) and Hong Kong Monetary Authority (HKMA).
What You'll Learn
Course Structure
Do You Need a License or Registration?
Understanding regulated activities, exemptions, and when licensing is required under Hong Kong law
Requirements for Obtaining a License
Eligibility criteria, fit and proper standards, financial resources, and responsible officer appointments
Application Procedures
Using the WINGS platform, preparing documentation, fees, timelines, and following up effectively
Ongoing Obligations
Notification requirements, financial reporting, CPT, MIC regime, and maintaining compliance
Key Topics Covered
Licensing Framework
- •Licensed corporations vs registered institutions
- •Responsible officers and licensed representatives
- •Provisional and temporary licenses
- •Incidental exemptions
Application Process
- •WINGS platform navigation
- •Fee structure and payment methods
- •Processing timelines and expectations
- •Common pitfalls and how to avoid them
Compliance Obligations
- •Annual fees and returns
- •Financial reporting requirements
- •Continuing Professional Training (CPT)
- •Managers in Charge (MIC) regime
Emerging Areas
- •Virtual asset service providers
- •Robo-advisory services
- •Fintech sandbox framework
- •Cross-border regulatory considerations
Who Should Attend
Certificate of Attendance
Upon completion of the course, participants will complete a short multiple-choice quiz to reinforce key concepts. After passing the assessment (60% or higher), you'll receive an official Certificate of Attendance issued by Legal & Compliance, which can be used to support your professional development record and CPT requirements.
Register for Free Access
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