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CTBC ASIA LIMITED A licensed corporation under the Hong Kong Securities and Futures Commission (AJF262) for (Type 1) dealing in securities, (Type 4) advising on securities, (Type 6) advising on corporate
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How to fill out application of sfc license

01
Download the application form for SFC license from the official website of the Securities and Futures Commission (SFC).
02
Fill in all the required information accurately and completely. This may include personal details, educational background, work experience, and financial information.
03
Attach all necessary supporting documents, such as certified copies of academic qualifications, employment history, and identity proof.
04
Pay the required application fee as specified by the SFC.
05
Submit the completed application form along with supporting documents and fee to the SFC either in person or by mail.
06
Wait for the SFC to process your application and communicate the outcome to you.

Who needs application of sfc license?

01
Individuals or entities who wish to engage in regulated activities in Hong Kong, such as dealing in securities, futures contracts, leveraged foreign exchange trading, or asset management, are required to obtain an SFC license.
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The application for an SFC (Securities and Futures Commission) license is a formal request submitted to the relevant regulatory body to obtain permission to engage in specific financial activities, such as securities trading, asset management, or dealing in futures.
Individuals and entities seeking to conduct regulated activities in the securities and futures markets are required to file an application for an SFC license. This includes brokerage firms, investment managers, and financial advisors.
To fill out the application for an SFC license, applicants must provide detailed information including their business plan, financial statements, key personnel qualifications, compliance procedures, and any other required documentation as specified by the SFC.
The purpose of the application for an SFC license is to ensure that individuals and entities operating in the financial markets comply with regulatory standards, safeguarding market integrity and protecting investors.
The application must report detailed information such as the applicant's identity, business structure, financial projections, management team qualifications, risk management systems, and compliance frameworks.
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