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Licensing & regulation

Licensing and Registration Requirements in Hong Kong

Which regulated activity you need, how the fit and proper test is applied, how to file through WINGS, and what the licence obliges you to do afterwards.

Duration
1 hr 14 min
Level
Foundation
CPT hours
1.25
Format
Recorded seminar

Course overview

Anyone carrying on a regulated activity in Hong Kong needs to be licensed by the SFC or registered with it. Getting that wrong is not a technicality — carrying on a regulated activity without authorisation is a criminal offence.

This course starts with the perimeter: the regulated activity types, what each covers, and the exemptions and incidental-activity carve-outs that decide whether a licence is needed at all.

It then covers the application itself — corporate licences, representatives, and responsible officers; the fit and proper criteria applied to each; the competence and qualification requirements; and how a submission is prepared and filed through the WINGS platform. The final section deals with life after approval: substantial shareholder and change notifications, financial resources and reporting, continuous professional training, and the consequences of non-compliance.

What you'll learn

  • Determine which regulated activity type an intended business falls within
  • Identify the exemptions that may remove the need for a licence
  • Apply the fit and proper criteria to corporations, ROs, and representatives
  • Prepare and file a licence application through the WINGS platform
  • Meet ongoing notification, financial resources, and CPT obligations

Course structure

  1. Part 1

    The licensing perimeter

    Regulated activity types, what each covers, exemptions, and incidental activity.

  2. Part 2

    Fit and proper

    The fit and proper criteria for corporations, responsible officers, and licensed representatives.

  3. Part 3

    The application

    Competence and qualification requirements, documentation, and filing through WINGS.

  4. Part 4

    Ongoing obligations

    Notifications, financial resources and reporting, continuous professional training, and consequences of breach.

Key topics covered

Perimeter

  • Regulated activity types
  • Determining licensing requirements
  • Exemptions and carve-outs
  • Registered institutions

Fit and proper

  • Criteria for corporations
  • Responsible officer requirements
  • Licensed representative standards
  • Competence and qualifications

Application process

  • WINGS application platform
  • Supporting documentation
  • Business plans and internal controls
  • Timelines and common deficiencies

Post-licensing

  • Notification obligations
  • Financial resources rules
  • Annual returns and reporting
  • Continuous professional training

Who should attend

  • Prospective SFC licence applicants
  • Responsible officers and prospective ROs
  • Compliance officers in licensed corporations
  • Regulatory consultants and legal counsel
  • Company secretaries supporting licensed entities

Assessment and certification

Once you have watched the seminar, a short multiple-choice assessment unlocks. Score 60% or higher and a Certificate of Attendance for 1.25 CPT hours is issued immediately, carrying a unique reference number.

The certificate resolves to a public verification page, so an employer or regulator can confirm it without contacting us. It also counts towards the CPT hours ledger on your dashboard.

See how verification works