CPTEnglishBeginner· Licensing & Regulations

Licensing and Registration Requirements in Hong Kong

A Comprehensive Guide to Regulatory Compliance for Financial Professionals in Hong Kong

Legal & Compliance 1h 58 lessons

What you'll learn

Identify which of the 13 regulated activities require a license or registration under the SFO
Analyze the application of incidental exemptions for corporate operations
Explain the "fit and proper" criteria used by the SFC for licensing and registration
Determine the minimum paid-up share capital and liquid capital requirements for different license types
Evaluate the specific eligibility and experience standards for Responsible Officers
Understand the dual-regulatory oversight between the SFC and the Hong Kong Monetary Authority (HKMA)
Apply compliance standards to emerging sectors like virtual assets and online financial services

About this course

This course provides a detailed exploration of the Securities and Futures Ordinance (SFO) and the regulatory landscape overseen by the Securities and Futures Commission (SFC). Learners will gain a deep understanding of the legal frameworks governing financial activities in Hong Kong, including the classification of regulated activities, licensing mandates, and registration requirements for corporations and individuals.

Key topics include:

Regulatory Frameworks: Definitions of regulated activities, exemptions, and the roles of authorized financial institutions.
Licensing Standards: The "fit and proper" criteria, financial resource requirements, and governance structures such as Managers-In-Charge (MICs).
Specialized Compliance: Guidance on virtual assets, security token offerings, fintech innovation, and ongoing reporting obligations to maintain good standing.

How this course satisfies CPT

This course covers Licensing & Regulations topics recognised by the SFC as eligible for CPT. Upon completion, you'll earn approximately 1 CPT hours and receive a certificate of completion for your training records. The course includes quizzes to verify your understanding, satisfying the SFC's requirement that online learning includes an independent assessment and maintains a reliable audit trail.

Learn more about CPT requirements

Curriculum · 58 lessons

1:13:08.2 of content

1.
Introduction to the Hong Kong Licensing Regime
FREE
0:24.9
2.
Seminar Overview of Licensing and Registration Processes
FREE
1:02.1
3.
Understanding Types of Regulated Activities Under SFO
FREE
1:15.7
4.
General Licensing Requirements for Corporations and Individuals
0:51.8
5.
Registration Requirements for Authorized Financial Institutions
1:10.3
6.
Key Definitions for Financial Intermediaries and Functions
1:11.1
7.
Exemptions From Licensing Requirements Under SFO
0:57.2
8.
Understanding the Incidental Exemption for Licensed Corporations
1:22.9
9.
Key Exemptions for Dealers and Group Companies
1:17.1
10.
Fintech Regulatory Sandbox for Innovative Financial Services
0:51.6
11.
Regulatory Framework for Virtual Asset Services
0:59.2
12.
Security Token Offerings and Bitcoin Futures Regulation
1:02.2
13.
Regulatory Approach to Online Financial Services
1:17.6
14.
Licensing Considerations for Specific Business Scenarios
1:12.3
15.
Overview of Licensed Corporations and Their Types
0:58.4
16.
Types of Licensed Individuals and Representative Roles
1:17.1
17.
Regulatory Requirements for Registered Institutions
1:05.2
18.
The General Fit and Proper Requirement Criteria
1:05.9
19.
Specific Approval Criteria for Licensed Corporations
1:06.8
20.
Regulatory Requirements for Temporary Licensed Corporations
1:07.2
21.
Competence and Authority Requirements for Responsible Officers
1:09.9
22.
Relevant Industry Experience for Responsible Officer Applications
1:09.2
23.
Special Requirements for Sponsors and REIT Managers
1:15.8
24.
Fit and Proper Requirements for Licensed Representatives
1:11.0
25.
Understanding Different Types of Representative Licences
1:09.8
26.
Approval Criteria for Registered Institutions Personnel
1:17.0
27.
WINGS Platform for Electronic Licensing Applications
0:47.9
28.
Step by Step Guide to Application Process
1:33.3
29.
Overview of Application Fees for Intermediaries
1:24.5
30.
Expected Processing Time for Various License Applications
1:12.8
31.
Understanding Application Decisions and Regulatory Refusal
1:22.8
32.
Special Considerations for Corporate and Individual Applications
1:43.3
33.
Overview of Ongoing Obligations After Licensing
1:11.6
34.
Basic Ongoing Requirements for Licensed Intermediaries
1:34.1
35.
Ongoing Notification Requirements for Licensed Persons
1:50.7
36.
Financial Reporting Requirements for Licensed Corporations
1:20.0
37.
Annual Fees and Returns for Licensed Intermediaries
1:42.2
38.
Continuous Professional Training Requirements for Licensees
1:56.7
39.
Approval Requirements for Changes to Existing Licences
1:42.2
40.
Notification Requirements for Virtual Asset Services
0:43.9
41.
Regulatory Actions and Consequences of Non-Compliance
1:17.3
42.
Eligibility Requirements for Sponsors and Takeover Advisers
0:58.7
43.
Licensing Considerations for Family Offices and Private Equity
1:07.3
44.
Licensing Requirements for Depositaries and Custodians
1:26.3
45.
Requirements for External Electronic Data Storage Providers
1:03.2
46.
Managers-in-Charge Regime for Senior Management Accountability
1:20.4
47.
Management Accountability Regime for Registered Institutions
1:07.0
48.
Essential Regulatory Resources for Financial Intermediaries
0:60.0
49.
Support Organizations for Businesses in Hong Kong
0:57.2
50.
Common Pitfalls to Avoid During Licensing Process
1:16.3
51.
Practical Tips for Successful Licensing Applications
2:03.3
52.
Recent Regulatory Developments in Hong Kong
1:57.6
53.
Case Studies of Successful Licensing Applications
1:29.4
54.
Case Studies of Common Licensing Challenges
1:00.5
55.
Future Trends in Financial Regulation in Hong Kong
2:22.7
56.
Key Takeaways From the Licensing Seminar
1:44.8
57.
Final Questions and Discussion Session
0:58.4
58.
Conclusion to Navigating Hong Kong Licensing Regime
1:02.6

Requirements

Basic knowledge of the Hong Kong financial services sector
Familiarity with foundational corporate governance concepts
Access to the Securities and Futures Ordinance (SFO) text for reference
Professional interest in regulatory compliance, legal, or management roles

Certificate of Completion

Complete this course to earn a verifiable Certificate of Completion for your CPT training record. Here's how:

1Watch all the lessons — work through every lesson in the curriculum. Each completed lesson brings your progress closer to 100%.
2Pass all the quizzes — score 70% or higher in each quiz within the course. Quizzes are part of the curriculum and must be passed to finish.
3Download your certificate — once you reach 100% progress, download a personalised Certificate of Completion showing your name, the CPT hours earned, and your quiz score.

Sample certificate: