(dealing in securities). It is of concern that the clients so introduced may not receive the appropriate protection afforded by the regulatory regime. See also "Circular to announce the SFC Regulatory Sandbox" and. In addition, the introducing party may not be fit and proper to carry out that function.
In general, where the tools are able to identify a variety of investment possibilities or recommendations presenting different choices to users, the providers of such tools would be regarded as advising on securities or advising on futures contracts. Notable features, procedure, documents Required, general information, company structure. Hong, kong forex license is a long and complicated procedure, thus enlisting the support of Starting Business to guide you through the entire application procedure will ensure that you follow all the correct procedures and supply the correct documents to the Hong Kong SFC. After reviewing the SFCs decision, the Honourable Mr Justice Stone said: At the end of the day, it is clear that the SFC took the view, upon entirely justified grounds, that it had lost all confidence. Kong s Securities and Futures Commission (SFC) has added two more unregulated brokers to its warning list previous week: KB Capitals and TGC FX (or TGC Group). Accounting requirements, accounting records may be kept at the local offices of the administrator or elsewhere at the discretion of the directors. When a licensed corporation or individual conducts activities in a jurisdiction outside. Kong s Securities and Futures Commission (SFC) has issued a warning against the forex brokers IMS FX and TechoFX. For that reason, please provide us with the following documents. To recruit clients for its business, Tses International Investment (Macau) could only operate under clandestine circumstances through agents with close connections. Kong, but the formers claim is false, while the address of the latter belongs to a secretarial company.