Responsible person(RO)

Hong Kong Securities and Futures Commission license 2026-08-03

Hong Kong 149 license (No. 1-4-9) application：Compliance layout guide for asset management companies

Sorting out the RO configuration of Hong Kong license plates 1+4+9、capital、Physical office and AML internal control focus，Suitable for asset management companies to plan application paths，Assess the optimal licensing structure now。

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Hong Kong Securities and Futures Commission license 2026-08-03

Hong Kong SFC License No. 1 (Securities Trading) and License No. 4 (Securities Consulting) Combination Application Guide

Sorting out the business boundaries of Hong Kong SFC Category 1 and Category 4 combinations、Application subject、Responsible person、financial resources、AML/CFT and ongoing liability。

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Hong Kong Securities and Futures Commission license 2026-07-08

Hong Kong No. 9 Asset Management License Application Guide：Private equity fund manager’s entry pass

Sorting out the application requirements for Hong Kong’s No. 9 asset management license、RO configuration、AML internal control and 6 to 12 month approval rhythm，Help you complete the materials in advance and reduce the risk of being questioned，Evaluate now。

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Hong Kong Insurance Broker License 2026-07-03

Hong Kong Insurance Broker License Application Guide：Detailed explanation of the requirements of the Insurance Regulatory Authority IA on the person in charge of the RO

Describe the appropriate person(s) to be responsible for the insurance brokerage company、IQE、experience、Authority and performance requirements，and differentiate companies、Technical Representative and Ongoing Compliance Responsibilities。

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Hong Kong Securities and Futures Commission license 2026-06-13

Hong Kong SFC No. 2 License：Complete Guide to Application for Trading Futures Contracts

Sorting out the financial resources of Hong Kong SFC Type 2 futures contract trading license、Responsible person、premises、Application Review and Ongoing Responsibilities。

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Hong Kong Insurance Broker License 2026-06-06

Qualification requirements and matching skills for Hong Kong insurance broker RO (responsible officer)

Verify the academic qualifications or equivalent qualifications of the person responsible for the insurance brokerage、IQE、Relevant experience、actual authority、Time investment and fit and proper profile；A fixed number of years is not a unified conclusion for all cases。

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Hong Kong Securities and Futures Commission license 2026-06-03

Hong Kong SFC License No. 9 (Asset Management) Application：Interpretation of Responsible Officer (RO) Requirements

Sort out the RO qualification requirements for Hong Kong SFC No. 9 license、take an exam、Asset management experience and interview focus，Avoid delaying approval due to insufficient configuration of 2 ROs or insufficient materials，Evaluate your application path now。

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Hong Kong Securities and Futures Commission license 2026-05-18

Hong Kong SFC License No. 1 Application Guide：Core Requirements for Securities Transaction Compliance

Sort out the entities of Hong Kong SFC Type 1 securities trading license、Responsible person、financial resources、AML/KYC、Application Review and Ongoing Responsibilities。

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