CICC US SECURITIES, INC.

No longer active. According to the Public Register of Licensed Persons and Registered Institutions maintained by the SFC, CICC US SECURITIES, INC. previously held an SFC regulatory licence (Central Entity CE No.: AOO539). While the corporate entity remains registered and active [Live] in the Companies Registry, its statutory SFC financial licence has ceased and is currently [Ceased / De-registered] (Verified: October 2026).

Under the Securities and Futures Ordinance (Cap. 571), the SFC classifies regulated activities into 10 distinct classes. Key classes include: Type 9 (Asset Management: managing mutual/private equity funds, hedge funds, and discretionary family office mandates), Type 1 (Dealing in Securities: brokerage and placing), Type 4 (Advising on Securities: investment research and advisory), and Type 6 (Advising on Corporate Finance: IPO sponsor). A licensed corporation must strictly operate within its approved regulated activities and comply with specific licensing conditions (e.g., prohibition against holding client assets or serving professional investors only). 86hc.com cross-checks the SFC Public Register to verify the precise scope of authorized activities and restrictions for CICC US SECURITIES, INC..

Under Section 125 of the Securities and Futures Ordinance (Cap. 571), the SFC enforces a strict 'Dual Responsible Officer (RO)' regime: every licensed corporation must appoint at least two SFC-approved Responsible Officers for each regulated activity it conducts, with at least one RO ordinarily resident in Hong Kong and possessing executive director authority. Responsible Officers bear personal statutory accountability for the firm's compliance, operational safety, and risk management. If a licensed firm experiences key RO resignations causing the number of active ROs to drop below two, the SFC may suspend the firm's licence or prohibit onboarding new accounts. 86hc.com verifies the RO roster, executive management appointments, and licensed representatives for CICC US SECURITIES, INC..

Through 86hc.com's statutory registry retrieval service, you can inspect and retrieve the full registered non-Hong Kong company statutory filings for CICC US SECURITIES, INC. deposited at the Hong Kong Companies Registry. Essential statutory records include: 1. Latest Annual Return of Non-Hong Kong Company (Form NN3), comprehensively disclosing principal place of business in Hong Kong, authorized representatives, and corporate standing; 2. Notification of Change of Secretary, Director or Authorized Representative (Form NN7 / NN8C), tracing executive governance updates; 3. Constitutive Documents. All official document images retrieved via 86hc.com feature official ICRIS registry barcodes ensuring verified authenticity, and support Certified True Copies (CTC) issued by AFRC-regulated practicing Hong Kong CPAs for private banking KYC and institutional compliance.

Under Part IX of the Securities and Futures Ordinance (Cap. 571), the SFC possesses comprehensive statutory enforcement powers. For regulatory breaches—such as market misconduct, insider dealing, client asset mishandling, or AML internal control failures—the SFC may impose five statutory disciplinary sanctions: public or private reprimands, licence suspensions or full revocations, prohibition orders disqualifying individuals from the industry, and administrative fines of up to HK$10,000,000 or three times the profit gained or loss avoided. Furthermore, under Section 114 of Cap. 571, carrying on regulated activities without a licence is a serious criminal offence punishable by fines up to HK$5,000,000 and 7 years' imprisonment. Cross-referencing official SFC enforcement records on 86hc.com confirms that CICC US SECURITIES, INC. currently has no active disciplinary orders or sanctions on file; however, its statutory SFC licence has ceased and is currently de-registered.

Relying on official Hong Kong Companies Registry ICRIS records, Inland Revenue Department Business Registration data, and SFC Public Register, 86hc.com provides statutory document verification: 1. [Statutory Registry Search Reports]: Complete statutory corporate extract bearing registry watermarks and unique search dockets; 2. [Business Registration Certificate (BRC) Extract]: Validating tax registration status and authorized trade names under Cap. 310; 3. [Statutory Image Dossier]: Direct retrieval of official image records (Form NN3, Form NN7, Constitutive Documents); 4. [Hong Kong Practising CPA Certified True Copies (CTC)]: Certified, signed, and stamped page-by-page by qualified Hong Kong Practising Certified Public Accountants regulated by the AFRC, compliant with institutional private banking KYC, global custodian onboarding, and regulatory submissions.