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 Brokerage & Dealing licences (Type 1, 2, 3, 8)

The dealing side of Hong Kong’s securities industry: dealing in securities (Type 1), futures (Type 2), leveraged FX (Type 3) and securities margin financing (Type 8). The most populous licence cluster — browse the brokers and their licensed staff.

Activities in this group

RA 1 · Securities dealing RA 2 · Futures dealing RA 3 · Leveraged FX RA 8 · Securities margin financing

Browse the licensees

RA 1 Securities dealing — companies · individuals · stats
RA 2 Futures dealing — companies · individuals · stats
RA 3 Leveraged FX — companies · individuals · stats
RA 8 Securities margin financing — companies · individuals · stats

How to use this

Map the broker landscape and where representatives concentrate.
Find Type 1/2 firms for partnership, hiring or acquisition.
Benchmark a brokerage against the field.

Which SFC regulated activities are most common in Hong Kong?How concentrated is Hong Kong’s SFC-licensed workforce?

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 Advisory & Corporate Finance licences (Type 4, 5, 6) · Hong Kong SFC Fintech licences — Automated Trading & Credit Rating (Type 7, 10)