證監會牌照申請

Prior to the commencement of conducting any regulated activities in Hong Kong, relevant licences issued by the Securities and Futures Commission (“SFC”) must be obtained. In an SFC license application, applicants must submit application forms together with a business plan, an operation and compliance manual, a contingency plan, and other supplementary documents such as appointment of at least two (2) Responsible Officer (“RO”), one being the executive director, for SFC's consideration of whether the applicants are qualified to operate the regulated activities applied.

 

The SFC’s general approach is to scrutinize the applicant’s background by examining its organisational structure, shareholding structure, and directors' and shareholders' personal information. Furthermore, it is crucial for the appointed ROs to demonstrate evidence of substantial experience in the industry for the regulated activities applied. Upon receipt of a license application, SFC will demand further explanation or illustration on the content submitted. Applicants are required to reply to all the enquiries made by the SFC and submit supplementary documents requested within a specified period of time. SFC will approve the application once all the questions receive satisfactory responses.

 

Maximum Success Capital Group Limited aims to provide advice and support to help applicants navigate through the licence application process in an efficient, effective and timely manner.

Our Scope of Services

  1. The perusal and examination of the substantial shareholder(s) background and ownership structure

  2. The perusal and examination of the Company's ROs’ qualifications

  3. The provision of advice and suggestions to the business plan, ownership/organisation structure and operational policies

  4. The preparation of documents supplementary to the SFC License Application as per below:

    • ​A Business Plan

    • An Operations Manual

    • A Compliance Manual

    • A Business Contingency Plan

  5. The submission of the pertinent SFC Application Forms for Licensed Corporations and ROs to obtain approval for the license

  6. The handling and addressing SFC's questions on the License Applications pending the License approval

  7. The delivery of a complete set of SFC License Application Documents to the Client

Application Timetable

The following is the estimated timetable for our services regarding Client SFC License Applications:

Day 0
Finalise shareholding structure, directors' list, responsible officers' list, company address, and other information required for making applications.
Day 1-60
Review the application documents and finalise the documents after discussion with the Client's shareholders, directors, and responsible officers.
Day 60
Submit applications documents of Corporate and Responsible Officers to the SFC Licensing Department.
Day 60-150
Receive enquiries from the SFC regarding Client's application and discuss with Client's shareholders, directors, and responsible officers to prepare formal replies and supplements to the SFC's queries.
Day 165
Receive formal notice of approval or initial approval from the SFC regarding the Client's application.
Day 166-200
Submit additional or supplementary information or documents to the SFC within two weeks if the Client's application is initially approved rather than formally approved.

Note: The above timeframes are only tentative and for reference only.

Contact

Howard Ng, Chief Executive Officer

+852 2522 1899

howardng@msgrouphk.com