Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.

Hong Kong SFC Advisory & Corporate Finance licences (Type 4, 5, 6)

The advisory side of the SFC regime: advising on securities (Type 4), futures (Type 5) and corporate finance (Type 6 — the sponsor/IPO licence). Browse the advisers and sponsors and the people who hold these accreditations.

Activities in this group

RA 4 · Advising on securities RA 5 · Advising on futures RA 6 · Corporate finance

Browse the licensees

RA 4 Advising on securities — companies · individuals · stats
RA 5 Advising on futures — companies · individuals · stats
RA 6 Corporate finance — companies · individuals · stats

How to use this

Find Type 6 sponsors for an IPO or corporate-finance mandate.
Identify advisory firms and their licensed advisers.
Benchmark an advisory practice against peers.

Which SFC regulated activities are most common in Hong Kong?

Other licence groups

Hong Kong SFC Asset Management licences (Type 9 & 13) · Hong Kong SFC Virtual-Asset & OTC-derivatives licences (Type 101, 11, 12) · Hong Kong SFC Brokerage & Dealing licences (Type 1, 2, 3, 8) · Hong Kong SFC Fintech licences — Automated Trading & Credit Rating (Type 7, 10)