Product TypeTarget InvestorsSubject to UT Code Ch. 7?NotesSFC-authorised public fundsRetail publicYes—must complyAll limits below are based on thisPrivate/OFC/LPF (professional only)Professional/institutionalGenerally exemptMay serve as internal referenceMPF, PRF & other pension fundsRetail/employeesMPF rules applyAlso 10% single-entity cap #ClauseLimitRegulatory Logic & Practical Tips17.1Single entity ≤ 10% NAVStops “one bad apple.” Derivatives look-through; centrally cleared exempt.27.1ASame group ≤ 20%…
Item Can be searched online with payment? Who can access? Risk Alert Director List ✅ Yes Anyone If seeking a low profile, consider professional or corporate directors, but note Economic Substance rules Shareholder List ❌ No Only BVI-licensed attorneys UBO must still be disclosed to banks, tax authorities, and the SFC 🔍 Key Point: BVI…
Exam Roadmap · Preparation Strategy · Career Blueprint 1. Why Pursue a Type 6 Licence? 2. Exam Requirements Role Required Papers Notes Licensed Representative Paper 1 (Regulatory Framework) + Paper 7 (Financial Markets) + Paper 11 (Corporate Finance) Entry level Responsible Officer (RO) Above + Paper 5 (Corporate Finance Regulation) Management track Sponsor Representative Add…
Introduction The Securities and Futures Ordinance (SFO) requires each licensed corporation to appoint at least two Responsible Officers (ROs) for each regulated activity. The Securities and Futures Commission (SFC) has consistently stated in multiple FAQs and circulars that applications for one person to simultaneously serve as RO or Licensed Representative (RA) for two different companies…
🚀 Exclusive Recruitment: Our Client Seeks a Founding RO to Launch Their Insurance Arm! 🚀 🏢 About Our Client: 👤 The Opportunity with Our Client: An Entrepreneurial Powerhouse ✅ Key Responsibilities (with Our Client): 🎯 Candidate Profile We Are Seeking: 🎁 What Our Client Offers: 📊 Business Potential (Client’s Outlook): 📩 To Apply Through Us:
Alright, folks! “Money laundering” isn’t just some fancy term from spy movies; it could be happening right under your nose! First off, let’s be clear: “money laundering” is like taking a filthy undershirt and, using a bunch of “secret formulas,” washing it so white that everyone thinks it’s brand new. The “dirty money” comes from…
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.
Introduction In the financial industry, especially for licensed corporations like securities firms, three numbers are particularly important – paid-up share capital, net asset value, and liquid capital. These three numbers are like the foundation, walls, and cash reserves of a house, all essential. Today, we’ll use simple language and examples to help everyone understand how…
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.
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.