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Licensed Corporation

Under the Securities and Futures Ordinance (SFO), any corporations involved in one or more of the SFO’s regulated activities must obtain a licence from the Securities and Futures Commission (SFC).

Such regulated activities include dealing in securities or futures contracts, leveraged foreign exchange trading, advising on securities, futures contracts or corporate finance, providing automated trading services, securities margin financing, asset management and providing credit rating services. To legally operate within Hong Kong, companies engaging in these activities are required to secure a licence from the SFC.

We provide audit services to licensed corporations and support with selected SFC regulatory reporting and compliance requirements.

We can help you with:

  • Compliance Report: Submitting the audited financial statements, auditor’s report and other documents including compliance report, audit questionnaire, financial resources returns, account disclosure document, and business and risk management questionnaire, to the SFC not later than four months after the end of the financial year.
  • Regulatory Compliance and Record-Keeping: Expressing an opinion on your compliance with the relevant sections of Securities and Futures (Accounts and Audit) Rules and Securities and Futures (Keeping of Records) Rules.
  • Audit Questionnaire: Reviewing the audit questionnaire.
  • Financial Resources Returns (FRR): Identifying any contraventions of the Securities and Futures (Financial Resources) Rules.
  • Account Disclosure Document (ADD): Reviewing the profit and loss information, balance sheet information and other financial information.
  • Business and Risk Management Questionnaire (BRMQ): Reviewing the information about the business operations and risk management measures.
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