HK Compliance Hub-books

Home

❯

01 HK

❯

2 Licenses

Folder: 01-HK/2-Licenses

14 items under this folder.

  • May 26, 2026

    04 香港证监会1号、4号、9号牌照申请详细指引

    • license
  • Jan 08, 2026

    02.1 definition of asset management

    • license
  • Nov 18, 2025

    04.1 公司申请证监会牌照的具体要求

    • license
  • Nov 17, 2025

    10 CPT

    • license
  • Nov 15, 2025

    05 执行董事

    • ExecutiveDirector
    • license
  • Nov 15, 2025

    07 负责人员及持牌代表需通知事项

    • license
    • ResponsibleOfficer
  • Nov 13, 2025

    03 第9类资产管理的豁免

    • license
  • Nov 12, 2025

    06 负责人员的申请要求及合规

    • ResponsibleOfficer
    • license
  • Nov 11, 2025

    08《证券及期货条例》中负责人员的规定

    • ResponsibleOfficer
    • license
  • Nov 08, 2025

    11 核心职能人员监管规定

    • license
    • MIC
  • Nov 07, 2025

    01 受规管活动类别

    • license
  • Nov 07, 2025

    02 资产管理的定义

    • license
  • Apr 01, 2025

    09 牌照年费

    • license
  • May 11, 2015

    12 致中介人有關遵守通知規定的通函 20150511

    • license
    • SFC/circular

最近发表

  • 04 香港证监会1号、4号、9号牌照申请详细指引

    May 26, 2026

  • Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients

    May 22, 2026

  • Compliance Tools

    May 19, 2026

  • 中国金融机构分类

    May 14, 2026

  • 中国金融监管体系发展概述(2023-2025)

    May 14, 2026

Created with Quartz v4.5.2 © 2026

  • GitHub
  • Discord Community