🎯 Why “Find a Company First, Then Apply”?
| Key Point | Details |
|---|---|
| Employer-Driven Filing | Only a hiring Licensed Corporation (LC) can file via WINGS; individuals cannot apply on their own |
| Provisional Licence | SFC issues a Provisional LR in ~7 working days, so you can start work quickly |
| Fit-and-Proper Test | Employer must show both firm and applicant meet integrity, financial and competence standards |
Bottom line: No employer, no application.
📋 Five-Step Application Flow
| Step | Action | Timeline |
|---|---|---|
| 1 | Sit the HKSI Licensing Examination (Papers 1, 7, 8, etc.) – results valid 3 yrs | 2–4 wks |
| 2 | Agree job title, business scope & RA category with LC | Varies |
| 3 | Prepare documents • Personal: Form 5, academic/work proofs, CNCC, address proof… • Employer: Form 4/4B, business plan, risk framework | 1–2 wks |
| 4 | File via WINGS & pay fees • Rep licence HK$1,790/RA • Provisional HK$800 | Same day |
| 5 | Work on Provisional → Full licence approval • Respond to SFC queries within 7 days | 6–10 wks |
🌍 Notes for Non-Permanent Residents
- HK PR not required; employer sponsorship + Employment Visa essential
- Visa filed in parallel, processing 4–6 wks
🌐 Cross-Border Work Alerts
- If mainly offshore, supervision, systems & risk controls must physically reside in HK
- SFC may refuse or impose strict conditions if “centre of management” is outside HK
💰 Time & Cost Snapshot
| Stage | Duration | Key Fees |
|---|---|---|
| LE exam | 2–4 wks | From HK$1,300 (Paper 1) |
| WINGS → Provisional | ≈7 working days | HK$1,790/RA + 800 |
| Provisional → Full | 8–10 wks | No extra fee |
| Senior RO licence | +2–3 wks | HK$2,950 |
Annual renewals, PI insurance, CPD costs excluded.
⚠️ Five Common Pitfalls
- Passing exams ≠ licence granted
- Incomplete docs = application returned
- Cross-border oversight is stringent
- External roles must be declared
- CPD requirements continue every year
📝 Conclusion
Success = Job secured + Licence approved.
- Pass HKSI papers early
- Compile complete documents
- Secure the right employer & RA scope
- Understand cross-border compliance
- Plan long-term career growth
Seek professional advice if in doubt.
Latest Licences for Sale!
LCS0007 / Type 1 & 4 License / $1.65M / $4.3M NAV / Central PI Advisory Firm
Key Points: Major Selling Points: Other Details: For more information, please WhatsApp 93472064. Paradox Management Limited is representing the seller and the listed price of $1.65M includes Paradox’s commission. Note: These details are for reference only and may deviate significantly from the actual company. View with caution.
SOLD:IB0015 / Insurance Broker License / General & Long Term Business (including Linked Long Term Business) / Historical FYP US$3.2M+ / Strong Insurance Company Relationships
Key Points: Major Selling Points: Other Details: For more information or to engage with the seller, please WhatsApp 93472064. Paradox Management Limited is representing the seller and the price shown includes Paradox’s commission.
LCS0080 / Type 1,4,9 License / $4.5M / NAV $4.5M / NO LICENSE CONDITIONS with HSBC & CITIC Bank Accounts
Key Points: Major Selling Points: Other Details: For more information, please contact via WhatsApp: 93472064. Paradox Management Limited is representing the seller and the price shown includes Paradox’s commission. Please note: These details are for reference only and may deviate significantly from the actual company. View with caution.
LCS0079 / Type 1, 4, 9 License / $2,000,000 + $6,600,000 NAV / No Trading Rights, No Client Assets, Long-Established Company
Key Points: Major Selling Points: Other Details: For more information or to engage with the seller, please WhatsApp 93472064. Paradox Management Limited is representing the seller and the price shown includes Paradox’s commission. ⚠️ Note: These details are for reference only and may deviate significantly from the actual company. View with caution.
Latest Licences wanted!
BB0080 | SFC Type 1 or 1,4 License | Budget: 2M HKD
💼 Established mainland Chinese brokerage firm🏦 Specializes in options and margin trading🌐 Seeking to expand into Hong Kong📋 License required: SFC Type 1 or Types 1 and 4💰 Budget: 2 million HKD📈 Commission: 800,000 HKD markup requested Other Details: No current physical presence in Hong KongLooking to acquire an SFC licensed company For more information,…
BB0066 | SFC 1,4,9 | Budget 2.8M
🔍 Opportunity Alert: SFC Licensed Corporation Sought A mainland private equity fund is on the lookout for an SFC licensed corporation with Types 1, 4, and 9 licenses. This is a unique chance for sellers in the financial sector! Key Details:🏢 Licenses: SFC Types 1, 4, and 9💰 Budget: 2.8M HKD📈 Commission: 800,000 HKD markup…
BB0061 | 🏛️ License: SFC Type 1 | 💰 Budget: HK$2,500,000
Major Points about the buyer: 📊 SFC Type 1 license required💼 Trading Right needed📈 Margin trading capability preferred🕰️ Company history: 5+ years💰 Budget: HK$2,500,000 Other Details: Buyers include major shareholders of listed companiesReady for immediate SPA signing and deposit paymentWilling to cover transition period operational costsPrefer current RO to stay onCompany name must include “Securities”Buyers…
Paradox Management Limited
Paradox Management Limited, established in 2010 in Hong Kong, specializes in vocational training and licensing support for the finance, banking, and insurance sectors. The company offers personalized training programs, including private sessions and group classes, as well as access to comprehensive exam question banks. Additionally, Paradox Management Limited assists with regulatory compliance, the acquisition and sale of financial entities, and obtaining Money Lender Licenses. Catering primarily to small financial institutions, the company is known for its deep industry expertise, client-focused approach, and proven success in helping professionals excel in their careers.
Contact Us
WhatsApp: +852 5512 2462
Phone: +852 2110 9644
Fax: +852 2111 9644
Email: [email protected]
Wechat: hk2cexam
Employment Agency Licence No.: 76143