01
Comprehensive SFC Licensing Management
Studio AM offers clients with SFC license applications, renewals, and updates for all regulated activities, including Responsible Officer (RO) and Licensed Representative (LR) appointments, business plan drafting, and fit and proper assessments, ensuring compliance with the Securities and Futures Ordinance (SFO) and relevant guidelines.
We pride ourselves on providing a full spectrum of support, from common financial licenses to uncommon and industry-specialized licensing, bolstered by strategic partnerships from our extensive pool of experts.
With our tailored approach, we stand ready to assist you in meeting both standard and unique regulatory requirements, ensuring your business thrives under precise compliance.
Common Financial Licenses
- Type 1: Dealing in Securities
- Type 2: Dealing in Futures Contracts
- Type 3: Leveraged Foreign Exchange Trading
- Type 4: Advising on Securities
- Type 5: Advising on Futures Contracts
- Type 6: Advising on Corporate Finance
- Type 9: Asset Management
Specialized Financial Licenses
- Type 7: Providing Automated Trading Services
- Type 8: Securities Margin Financing
- Type 10: Providing Credit Rating Services
02
HKMA Registration Management
Support registration with the HKMA for Authorized Institutions (AIs), Stored Value Facility (SVF) licensees, and Money Service Operators (MSOs), ensuring compliance with the Banking Ordinance, SVF licensing requirements, and Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) for remittance and money changing services.
03
Ongoing Licensing Obligations
Manage ongoing licensing obligations, including continuous professional training (CPT), annual returns, notifications, and regulatory filings with the SFC and HKMA, as well as assisting with the implementation of robust compliance policies and procedures to meet regulatory expectations and industry best practices.
04
Licensing Strategy and Support
Offer continuous strategic guidance on licensing requirements for new business activities, products, or services, considering the relevant regulatory frameworks and exemptions. Assist with regulatory engagement, correspondence, and responding to queries or requests from the SFC and HKMA in relation to licensing matters.