Regulatory Alerts2025-10-27
Added · Updated
Updated Guidance on Registration in Respect of Regulated Activities under the Securities and Futures Ordinance and Controls to Ensure Fitness and Properness of Staff
Authorized institutions applying for registration as registered institutions must submit applications for the Monetary Authority's consent for at least two executive officers directly to the Hong Kong Monetary Authority no later than their Securities and Futures Commission registration application. Registered institutions must notify the Monetary Authority and the Securities and Futures Commission in writing of changes to executive officer information within 7 business days, and executive officers cannot act in that capacity prior to obtaining written consent. All relevant individuals must have their specified particulars submitted to the Monetary Authority for inclusion in the Register of Securities Staff before beginning to act in any regulated activity, with subsequent changes also reported within 7 business days.
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