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How to Check a Hong Kong Securities Licence in the SFC Public Register: Coverage Dates, Search Paths, and Record Fields

To check a Hong Kong securities licence, use the Securities and Futures Commission (SFC) public register of licensed persons and registered institutions. It covers all SFO licensed persons, meaning individuals and corporations, and registered institutions since 1 April 2003, the SFO commencement date, and all licensed persons under the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO), meaning licensed individuals and providers, since 1 June 2023, when the virtual asset service provider licensing regime began. You can search by name or central entity number, also called CE number, and by certain business activities for corporations only. The record shows licence status, regulated activities such as Type 1 dealing in securities, licence conditions, the CE number, public disciplinary actions, and representative or responsible officer details. Registered institutions, meaning banks, appear in the same register but are supervised day-to-day by the Hong Kong Monetary Authority. This article explains the search paths, the fields displayed, the coverage dates, and the limits of what the register tells you.

What the SFC public register covers: legal basis, scope, and coverage dates

The register is maintained by the SFC and is the official public record of licensing and registration. It contains information on all licensed persons, meaning individuals and corporations, and registered institutions under the Securities and Futures Ordinance since 1 April 2003, the SFO commencement date. It also contains all licensed persons, meaning licensed individuals and providers, under the Anti-Money Laundering and Counter-Terrorist Financing Ordinance since 1 June 2023, the commencement date of the virtual asset service provider licensing regime under the AMLO.

The SFO introduced a single licensing regime, meaning an intermediary generally needs only one licence to engage in activities concerning securities, futures contracts and other SFC-regulated investment products. The Ordinance also levelled the regulatory requirements applying to the securities businesses of banks and licensed brokers; the Hong Kong Monetary Authority remains the front-line regulator for the securities arms of banks and performs day-to-day functions consistent with SFC standards. Most SFC rules, guidelines and codes issued under the SFO apply to authorized institutions registered with the SFC, and the HKMA issued Supervisory Policy Manual module SB-1 for the supervision of SFC-registered authorized institutions.

How to search: by name, central entity number (CE number), and by regulated activity

The register allows searching in the following ways:

In case of doubt, the SFC advises contacting the SFC directly. For due diligence, start by pulling up the firm’s full record and checking its unique Central Entity number. Confirm the registered legal name matches the entity you are actually contracting with, because some platforms operate under a different legal name than their consumer-facing brand.

Fields displayed for licensed persons and corporations

A licensed corporation’s record supports the following checks:

For individuals, the register shows representative or responsible officer status, and the activities the individual is permitted to conduct can be verified on the same register. If a firm’s representative contacts you, their individual licence and permitted activities should be checked there.

Fields displayed for registered institutions (HKMA-supervised banks)

Registered institutions are included in the same public register of licensed persons and registered institutions since 1 April 2003. For these banks, the SFC register shows registration status and regulated activities, and monthly updates cover changes in their registration conditions. The HKMA is the front-line supervisor, and it maintains a separate register of securities staff of authorized institutions.

The HKMA register of securities staff of authorized institutions can be searched by name, by HKMA registration number, or by name of the registered institution, and by regulated activities, where you must choose at least one; options include dealing in securities and advising on securities. Examples of registered institutions listed on the HKMA search page include Bank of China (Hong Kong) Limited, DBS Bank (Hong Kong) Limited, and Standard Chartered Bank (Hong Kong) Limited.

Fields displayed for VASP licensees under the AMLO

Since 1 June 2023, the SFC public register covers all licensed persons under the AMLO, described as licensed individuals and providers. These AMLO licensees are searchable by name or CE number in the same register. The term virtual asset is defined in section 53ZRA of the AMLO. In the wider regime, an SFC-licensed platform means a virtual asset trading platform operator licensed by the SFC under section 116 of the SFO, while an HKMA-licensed stablecoin issuer is licensed under section 15 of the Stablecoins Ordinance.

The data pack does not provide a separate, distinct field list for virtual asset service provider licensees beyond their inclusion as AMLO licensed persons and the standard search fields. Licensing or registration conditions for institutions providing virtual asset dealing and advisory services are addressed in the joint circular conditions dated 30 September 2025, with the appendix published on 27 May 2026, which is background context only.

How to read and interpret the register: limitations and legal disclaimers

The register page carries important legal information about the public register of licensed persons and registered institutions. A licence is a legal prerequisite, not a quality badge.

The register does not by itself show every layer of investor protection. Hong Kong operates an Investor Compensation Fund covering losses from a licensed intermediary’s default, capped at a statutory limit per claimant; this protection applies to securities traded on a recognised exchange and futures contracts, while structured notes, forex contracts or unlisted instruments may fall outside the safety net. Client assets are required to be held in trust and segregated, which can be confirmed in writing.

How to obtain a printed licence record

The public register page provides a function to obtain a printed copy of the licence record. The data pack does not specify what fields the printed record contains, the format, or any fee, so no further detail should be assumed; readers should follow the SFC’s own instructions on the register page.

Practical next steps for compliance officers and cross-border brokers

For counterparty due diligence, search by CE number, confirm the registered name matches the contracting entity, and check that the required regulated activity, such as Type 1 dealing in securities, is listed and the licence status is active with no disciplinary actions on file. Verify the individual representative’s licence and permitted activities on the same register.

Monitor change over time. The register provides monthly updates listing newly added licensees, deleted licensees, changes in regulated activities, and changes in licence and registration conditions; the August 2026 update to SFO licensee and registered institution data was published in English only, and the page was last updated on 1 September 2026. The SFO commenced on 1 April 2003, and the AMLO virtual asset service provider regime commenced on 1 June 2023, so records before those dates are outside the register’s coverage.

Common questions about the SFC public register

What is the legal basis and coverage period of the SFC public register?

The register’s legal basis is the SFO and the AMLO. It covers SFO licensed persons, meaning individuals and corporations, and registered institutions since 1 April 2003, and AMLO licensed persons, meaning licensed individuals and providers, since 1 June 2023.

How do I search the register by name, CE number, or regulated activity?

Search by name or central entity number (CE number); searching by certain business activities is available for corporations only. The interface also supports search by licence type and shows public disciplinary actions and representative or responsible officer data.

What does the register show for banks compared with licensed corporations?

Registered institutions, meaning banks, are in the same register since 1 April 2003, with registration status and regulated activities shown, while the HKMA is the front-line regulator. The HKMA separately registers securities staff of authorized institutions, searchable by name, HKMA registration number, institution name, and regulated activities such as dealing in securities and advising on securities.

What information does the register show for VASPs licensed under the AMLO?

It covers AMLO licensed persons, meaning individuals and providers, since 1 June 2023, and they are searchable by name or CE number. The term virtual asset is defined in AMLO section 53ZRA. The data pack does not give a distinct virtual asset service provider field list beyond standard coverage.

How often is the register updated, and where are additions and changes listed?

It provides monthly updates. The August 2026 update lists newly added licensees, deleted licensees, changes in regulated activities, and changes in licence and registration conditions; the page was last updated on 1 September 2026.

Sources and dates

The facts above are drawn from the following materials. Securities and Futures Commission, "Public Register of Licensed Persons and Registered Institutions", last updated 1 September 2026. Hong Kong Monetary Authority, "The Securities and Futures Ordinance and the Banking (Amendment) Ordinance 2002". SFC public register interface, apps.sfc.hk. Hong Kong Monetary Authority, "Register of Securities Staff of AIs - Search".