List of Financial Activities Regulated by the Hong Kong Securities and Futures Commission -- Hong Kong Business -- kaizen
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List of Financial Activities Regulated by the Hong Kong Securities and Futures Commission

List of Financial Activities Regulated by the Hong Kong Securities and Futures Commission

Regulated activities as defined by the Securities and Futures Ordinance are as follows:


Licence Regulated activity Examples
Type 1 Dealing in securities
  • Trading /broking stock options for clients
  • Trading bonds for clients
  • Buying / selling mutual funds and unit trusts for clients
  • Placing and underwriting of securities
Type 2 Dealing in futures contracts
  • Trading / broking index or commodities futures for clients
  • Buying / selling futures contracts for clients
Type 3 Leveraged foreign exchange trading
  • Buying / selling foreign exchange for clients on a margin basis
Type 4 Advising on securities
  • Giving investment advice to clients relating to the sale / purchase of securities
  • Issuing research reports / analyses on securities
Type 5 Advising on futures contracts
  • Giving investment advice to clients relating to the sale / purchase of futures contracts
  • Issuing research reports on futures contracts
Type 6 Advising on corporate finance
  • Acting as sponsor for listing applicant in an intiial public offering
  • Advising on the Codes on Takeovers and Mergers and Shares Repurchases
  • Advising listed companies on compliance of Listing Rules
Type 7 Providing automated trading services
  • Operating an electronic trading platform for matching client orders
Type 8 Securities margin financing
  • Providing financing to clients for their purchase of stocks in return for clients?stocks as collaterals
Type 9 Asset management
  • Managing a portfolio of securities or futures contracts for clients on discretionary basis
  • Managing funds on discretionary basis
Type 10 Providing credit rating services
  • Preparing reports on the credit worthiness of companies, bonds and sovereigns

Source: Hong Kong Securities and Futures Commission



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