SFC Licensed Corporation Services

Companies engaging in regulated activities (such as securities trading, asset management, and providing advice on securities) must apply to become a licensed corporation with the Hong Kong Securities and Futures Commission (SFC). The application process involves executive eligibility, business model review, and explanations of internal control arrangements, requiring a professional and strictly compliant procedure.

BIGU Group assists clients in applying for and maintaining licensed corporation status, including application documents, compliance policy drafting, and internal governance arrangement design, ensuring compliance with regulatory requirements.

‍BIGU Group's Professional Advantages of licensed corporation service
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‍ • Familiar with the application processes for regulated activities under SFO Classes 1, 4, and 9.
• Can assist in drafting compliance manuals, AML policies, and risk assessment reports.
• Provides comprehensive advice by integrating legal, accounting, and governance perspectives.
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‍ ‍Our Service Content
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‍ • Assessing the feasibility of business and management personnel qualifications.
• Preparing SFC application forms, business plans, and operational structure descriptions.
• Drafting compliance policies, procedure manuals, and risk assessments.
• Assisting in communication and responding to inquiries from the SFC during the application period.
• Ongoing compliance advisory support and preparation of annual reports.
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‍Suitable Targets
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‍ • Companies wishing to engage in securities, asset management, investment advisory, and other businesses.
• Existing licensed institutions needing compliance document updates and renewal support.
• Corporate structures for international financial institutions establishing branches in Hong Kong.
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‍ ‍Why Choose BIGU Group?
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‍ We have a deep understanding of the SFC's regulatory requirements and enforcement standards, providing robust compliance strategies and application support to help you quickly and legally launch financial operations.
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