Financial Services Licensing
Expert financial services licensing legal services in Hong Kong. SFC licensing, money lender applications, trust company registrations, and regulatory authorisations across Asia-Pacific.
Overview
Hong Kong's financial services sector operates under a comprehensive licensing regime administered by multiple regulators, including the Securities and Futures Commission (SFC), Hong Kong Monetary Authority (HKMA), and Insurance Authority (IA). Robert Lee Law Offices guides financial institutions and fintech companies through the licensing process and ongoing regulatory compliance.
Our team has extensive experience across all categories of regulated activities, from traditional securities and asset management businesses to emerging areas such as virtual asset trading platforms and stored value facilities. We understand the practical realities of licensing applications and ongoing compliance obligations.
With strong relationships with Hong Kong's financial regulators and deep knowledge of licensing requirements across Asia, we help clients obtain and maintain the authorisations necessary to conduct their business activities lawfully and efficiently.
Our Financial Licensing Services
Securities & Futures Commission (SFC) Licensing
- Type 1 (Dealing in Securities) licensing
- Type 4 (Advising on Securities) licensing
- Type 9 (Asset Management) licensing
- Other regulated activity licensing (Types 2, 3, 5, 6, 7, 8, 10)
- Responsible officer applications and approvals
- Licensed representative registrations
Virtual Asset Service Provider (VASP) Licensing
- VASP licence applications under the AMLO
- SFC licensing for VA trading platforms
- Dual licensing strategy advisory
- Regulatory gap analysis and remediation
- Compliance programme design for VA businesses
- Ongoing VASP compliance support
Money Services Licensing
- Money Service Operator (MSO) licensing
- Money Lenders Ordinance (MLO) licensing
- Remittance and currency exchange licensing
- SVF (Stored Value Facility) licensing with HKMA
- Cross-border payment service authorisations
- Ongoing compliance and renewal support
Trust & Corporate Service Provider Licensing
- Trust company registration under the Trustee Ordinance
- Trust or Company Service Provider (TCSP) licensing
- Corporate service provider compliance
- Family office regulatory considerations
- Ongoing TCSP compliance requirements
- AML/CTF compliance for licensed entities
Insurance & MPF Licensing
- Insurance broker and agent registrations
- Insurance company authorisations
- MPF intermediary registrations
- Ongoing insurance regulatory compliance
- Product approval and filing requirements
- Regulatory change management
Ongoing Compliance & Regulatory Support
- Annual licensing renewals and updates
- Responsible officer changes and approvals
- Business plan and scope changes
- Regulatory inspection preparation
- Remediation programme implementation
- Enforcement action response and defence
