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SECURITIES AND FUTURES COMMISSION Form 3 Application for License Representative Name of applicant Please tick the regulated activities you intend to carry out: Type 1Dealing in securities (note 1)Type
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How to fill out securities and futures commission

01
Determine if you are required to be regulated by the Securities and Futures Commission based on the nature of your activities.
02
Obtain the necessary forms from the Securities and Futures Commission website or office.
03
Fill out the forms completely and accurately, providing all required information.
04
Submit the completed forms along with any supporting documentation as required by the Securities and Futures Commission.
05
Await review and approval from the Securities and Futures Commission before engaging in any regulated activities.

Who needs securities and futures commission?

01
Individuals and companies involved in activities such as trading securities, futures contracts, leveraged foreign exchange trading, and asset management may need to be regulated by the Securities and Futures Commission.
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The Securities and Futures Commission (SFC) is the independent statutory body responsible for regulating the securities and futures markets in Hong Kong.
Market participants such as securities brokers, fund managers, and corporations involved in securities and futures trading are required to file with the Securities and Futures Commission.
Market participants can fill out the required forms and submit them to the Securities and Futures Commission either online or through mail.
The purpose of the Securities and Futures Commission is to maintain and promote the fairness, efficiency, competitiveness, transparency, and integrity of the securities and futures markets in Hong Kong.
Market participants must report information such as financial statements, ownership structures, trading activities, and compliance with regulatory requirements.
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