Statutory Basis: Securities and Futures Ordinance (Cap. 571)
Statutory Basis: Securities and Futures Ordinance (Cap. 571 SFO)Licence Verification: SFC Public Register · Direct CE No. LinkageClassifications: Types 1-10 Regulated Activities (Type 9 / 1 / 4)Risk Screening: Official Disciplinary Actions & Cold Shoulder OrdersLegal Compliance: Latest NAR1 Retrieval & Practising CPA CTC
Official Hong Kong SFC Licensed Corporations Directory: 5,800+ financial institutions licensed under Cap. 571 SFO. Verify Type 1-10 regulated activities (Type 9 Asset Mgmt, Type 1 Brokerage), CE numbers, Responsible Officers (RO), disciplinary actions, CR registry filings, and CPA CTC certifications on 86hc.com.
Under Section 114 of the Securities and Futures Ordinance (Cap. 571), carrying on a business in a regulated activity without a license constitutes a serious criminal offence, punishable upon conviction by a fine of up to HK$5,000,000 and 7 years imprisonment. The SFC categorizes financial licensing into 10 regulated activities: primary classes include Type 9 (Asset Management: hedge funds, private equity managers, discretionary family offices), Type 1 (Dealing in Securities: brokerage houses), Type 4 (Advising on Securities: research & equity advisory), and Type 6 (Corporate Finance: IPO sponsors). 86hc.com connects directly to the SFC public register to verify corporate standing, Central Entity (CE) numbers, and scope of authorized activities.
Pursuant to Section 125 of the SFO, the SFC enforces a strict "Dual Responsible Officer (RO)" rule: every licensed corporation must employ at least two SFC-approved Responsible Officers for each regulated activity it conducts, with at least one RO serving as an executive director ordinarily resident in Hong Kong. If a key regulated activity loses an RO, the corporation faces immediate regulatory sanctions, licence suspension, or prohibitions against onboarding new clients. 86hc.com tracks RO rosters and licensed representatives to prevent management vacuum risks.
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SFC Disciplinary Actions, Public Censures & Penalty Records (SFO Sections 194/196 Compliance)
#Disciplinary Actions
#SFC Penalties
#Public Reprimand
#Cold Shoulder Order
#Fines
Under Sections 194 and 196 of the SFO, the SFC exercises extensive disciplinary powers over non-compliant corporations and individuals, including public reprimands, fines up to HK$10,000,000 or three times the profit gained, license suspensions or revocations, and Cold Shoulder Orders. 86hc.com aggregates historical SFC enforcement statements and court prosecution dockets to uncover compliance breaches, insider dealing, or AML deficiencies.
The corporate governance and share capital structure of an SFC-licensed corporation are officially registered with the Hong Kong Companies Registry. 86hc.com provides expedited 15–30 minute retrieval of official registry filings (Form NAR1 detailing shareholders and registered capital, Form NNC1, Form ND2A) bearing official receipt timestamps and anti-counterfeiting ICRIS barcodes for institutional KYC and audit compliance.
Whether managing private equity funds, hedge funds, or operating single/multi-family offices, statutory certification of licensed standing is essential for bank account opening and cross-border transactions. 86hc.com coordinates with Hong Kong Practising CPAs to issue Certified True Copies (CTC) compliant with HKMA standards, and provides comprehensive support for Tier-1 bank account opening, UBO KYC reviews, and profits tax offshore fund exemptions.
Frequently Asked Questions (FAQ)
Common inquiries on SFC Type 1-10 regulated activity licensing, CE Number verification, RO statutory requirements, NAR1 filings, and CPA CTC certifications.
What is an SFC Licensed Corporation and how does it differ from a standard Hong Kong company?
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Under the Securities and Futures Ordinance (Cap. 571), an SFC Licensed Corporation is a corporate entity authorized by the SFC to conduct one or more regulated activities. Standard companies holding only a Certificate of Incorporation (CI) and Business Registration (BR) are legally prohibited from dealing in securities, futures, or managing assets. Conducting regulated activities without an SFC license is a serious criminal offence punishable by up to HK$5,000,000 fine and 7 years imprisonment.
What is an SFC Central Entity (CE) Number and how to verify it on 86hc.com?
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The Central Entity Number (CE No.) is a unique statutory alphanumeric identifier (e.g. 3 letters + 3 digits, like BQV709) assigned by the SFC to every licensed corporation and registered individual. On 86hc.com, search by company name, BRN, or CE number to inspect real-time licensing standing, effective dates, and accredited Responsible Officers.
What regulated activities do SFC Types 1, 4, and 9 licenses represent?
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Under SFO Schedule 5: ① Type 1 (Dealing in Securities): brokerage trading and underwriting; ② Type 4 (Advising on Securities): investment advisory and research reports; ③ Type 9 (Asset Management): managing discretionary portfolios, private equity, and hedge funds. Most asset managers hold Types 4 and 9 concurrently.
What is an SFC Responsible Officer (RO) and what are the statutory requirements?
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Under Section 125 of the SFO, every licensed corporation must implement a "Dual-RO" system: employing at least two SFC-approved Responsible Officers for each regulated activity, with at least one RO being an executive director resident in Hong Kong. ROs carry personal regulatory liability for corporate compliance.
What are the legal risks of engaging with an unlicensed financial intermediary?
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Key risks include: ① Commercial contracts may be deemed unenforceable or void by courts; ② Unlicensed entities are excluded from the Investor Compensation Fund (ICF); ③ Commercial bank accounts of unlicensed intermediaries face immediate freezing under AML protocols.
Can I retrieve original NAR1 Annual Returns and ND2A Director filings for an SFC licensee?
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Yes. 86hc.com retrieves official Companies Registry filings within 15–30 minutes, complete with official receipt timestamps and anti-counterfeiting barcodes detailing full shareholding structures and director appointments.
What is the legal evidentiary weight of a Practising CPA Certified True Copy (CTC) for fund setup and banking?
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CTC copies issued in coordination with Hong Kong Practising CPAs fully satisfy HKMA AML guidelines, SFC regulatory requirements, and Tier-1 commercial bank institutional onboarding standards.
Need priority SFC licensee filing inspection or Practising CPA CTC certification?
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