Readiness申请准备清单Readiness Checklist
申请前应先确认Before Filing
- 香港注册公司或在港注册的非香港公司
- 至少两名负责人（其中一名执行董事）
- 委任合规主管及 MLRO
- Hong Kong incorporated company or non-Hong Kong company registered in Hong Kong.
- At least two Responsible Officers, one of whom must be an executive director.
- Appointment of compliance officer and MLRO.
监管重点Regulatory Focus
- 遵守 FRR 持续财务资源规定
- 客户资产分隔保管（《客户款项规则》《客户证券规则》）
- 完整内控、风控及合规监察体系
- Continuous financial resources compliance under the FRR.
- Segregated custody of client assets under the Client Money Rules and Client Securities Rules.
- Complete internal control, risk control and compliance monitoring framework.
交付材料Delivery Workstream
- 牌照类别识别与组合规划（如 Type 1 + Type 4）
- RO/MIC 配置与 fit-and-proper 评估
- 业务计划书、合规手册起草
- SFC 申请递交与答询应对
- Licence category identification and combination planning, such as Type 1 plus Type 4.
- RO and MIC configuration and fit-and-proper assessment.
- Business plan and compliance manual drafting.
- SFC application filing and response support.
监管机构与法律依据Regulator & Statutory Basis
- 监管机构：SFC
- 法律依据：《证券及期货条例》（SFO, Cap. 571）附表 5；《证券及期货（财政资源）规则》（FRR）
- Regulator: SFC.
- Statutory basis: Schedule 5 to the Securities and Futures Ordinance (SFO, Cap. 571) and the Securities and Futures (Financial Resources) Rules (FRR).
SFC 《证券及期货条例》（SFO, Cap. 571）附表 5；《证券及期货（财政资源）规则》（FRR）SFO (Cap. 571) Schedule 5; Securities and Futures (Financial Resources) Rules
适用业务范围Permitted Activities
- 代客买卖证券（股票、债券、基金份额等）
- 证券经纪、配售、包销
- IPO 承销与分销
- Dealing in securities for clients, including shares, bonds and fund units.
- Securities brokerage, placing and underwriting.
- IPO underwriting and distribution.
申请人资格Applicant Eligibility
- 香港注册公司或在港注册的非香港公司
- 至少两名负责人（其中一名执行董事）
- 委任合规主管及 MLRO
- 须识别 8 项核心职能的主管人员（Managers-in-Charge, MICs）
- Hong Kong incorporated company or non-Hong Kong company registered in Hong Kong.
- At least two Responsible Officers, one of whom must be an executive director.
- Appointment of compliance officer and MLRO.
- Identification of Managers-in-Charge (MICs) for the eight core functions.
资本要求Capital Requirements
- 缴足股本：不低于 HK$5,000,000（若获批为介绍代理人则可为零）
- 速动资金：不低于 HK$3,000,000
- Paid-up share capital: not less than HKD 5,000,000, or nil if approved as an introducing agent.
- Liquid capital: not less than HKD 3,000,000.
关键合规要求Key Compliance Obligations
- 遵守 FRR 持续财务资源规定
- 客户资产分隔保管（《客户款项规则》《客户证券规则》）
- 完整内控、风控及合规监察体系
- 持续专业培训（CPT）
- Continuous financial resources compliance under the FRR.
- Segregated custody of client assets under the Client Money Rules and Client Securities Rules.
- Complete internal control, risk control and compliance monitoring framework.
- Continuous professional training (CPT).
时间表Timeline
- 准备期：1 - 2 个月（业务计划、合规手册、RO 物色）
- SFC 审批：法团申请承诺处理时间约 15 周，含答询通常 4 - 6 个月
- Preparation: 1-2 months for business plan, compliance manual and RO sourcing.
- SFC review: the indicative processing time for a corporate application is around 15 weeks, and commonly 4-6 months including questions.
政府收费Government Fees
- 按《证券及期货（费用）规则》收取，以 SFC 公布为准
- Fees are charged under the Securities and Futures (Fees) Rules and are subject to SFC publication.
持续合规义务Ongoing Obligations
- 月度财务申报、年度审计报告
- 重大变动通知
- 持续维持资本充足与 fit-and-proper
- Monthly financial returns and annual audited reports.
- Notification of material changes.
- Continuous maintenance of capital adequacy and fit-and-proper status.
典型申请人画像Typical Applicant Profile
- 证券经纪行、财富管理机构
- 拟在港开展证券承销/分销业务的投行
- Securities brokers and wealth management institutions.
- Investment banks seeking to conduct securities underwriting or distribution in Hong Kong.
Spark Advisory 服务范围Our Engagement Scope
- 牌照类别识别与组合规划（如 Type 1 + Type 4）
- RO/MIC 配置与 fit-and-proper 评估
- 业务计划书、合规手册起草
- SFC 申请递交与答询应对
- Licence category identification and combination planning, such as Type 1 plus Type 4.
- RO and MIC configuration and fit-and-proper assessment.
- Business plan and compliance manual drafting.
- SFC application filing and response support.