Points to Note in Handling SFC Licenses Application and Regulatory Update on SFC Licensing Regime

This course will provide an update of the current SFC licensing requirements for intermediaries such as 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.

Detailed Information

Highlights of the course include:

  • SFC licensing Regime update for SFC licenses, RO license and Representative licenses applications
    • Who needs an SFC license or registration
    • Consequence of Unlicensed regulated activities and SFC related enforcement actions
    • Common licensing conditions – for hedge fund managers, private equity managers, others
    • Commons situations or failure or returning or rejection of license applications by the SFC when applying for SFC licenses for Company, RO or Representative licenses application and remedial actions to take
  • SFC Licensing Document
    • Points to note in filling out SFC Licensing Questionnaires
    • Common issues / questions from the SFC license requisitions in processing the SFC licenses applications
  • 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.