SFC Licensing Regime Update and Upcoming Expanded SFC Type 9 License Regime

This course will provide an update of the current SFC licensing requirements for intermediaries such as points to note in using SFC New Licensing Forms and Supplements (effective from 11 April 2019), common issues arising from SFC licenses applications and details of upcoming expanded Type 9 license regime and its impact on fund management companies and hedge fund managers will also be discussed.

 

Speakers

Speaking Opportunities

Detailed Information

Highlights of the course include:

  • SFC Licensing Regime update for SFC licenses, RO license and Representative licenses applications
    •  Who needs an SFC licence or registration
    • Consequence of Unlicensed regulated activities and SFC related enforcement actions
    • Types of SFC licenses and SFC regulated activities
    • Common licencing conditions – for hedge fund managers, private equity managers, others
    • Commons situations or failure or returning or rejection of licence applications by the SFC when applying for SFC licenses for Company, RO or Representative licenses application and remedial actions to take
  • SFC New Licensing Forms
    • Points to note in using SFC New Licensing Forms and Supplements
    • Walkthrough of related SFC New Questionnaires required to be filled in under the SFC Latest Licensing Process
  • Latest SFC Licensing Trends and Upcoming Changes
    • Recent developments and trends on SFC licensing regime
    • Upcoming Expanded Type 9 license regime and its impact on fund management company and Type 9 RO licenses
    • Preparation for expanded Type 9 license regime for fund management company and hedge fund managers

Registration Conditions

To view our registration conditions click HERE.