Hong Kong Securities Dealer License

The Securities and Futures Commission (SFC) is the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong.

Key Features

Under the Securities and Futures Ordinance (SFO), “dealing in securities” (Type 1 activity) ,means making or offering to make an agreement with another person, or inducing or attempting to induce another person to enter into or to offer to enter into an agreement:

  1. for or with a view to acquiring, disposing of, subscribing for or underwriting securities; or
  2. the purpose or pretended purpose of which is to secure a profit to any of the parties from the yield of securities or by reference to fluctuations in the value of securities.

A company that is licensed for Type 1 regulated activity does not need to be licensed for regulated activities Type 4 (advising on securities), Type 6 (advising on corporate finance) or Type 9 (asset management) provided that such activities are carried out wholly incidental to its securities dealing business.

At least one responsible officer available at all times to supervise the business. The same individual may be appointed to be a responsible officer for more than one regulated activity provided that he is fit and proper to be so appointed and there is no conflict in the roles assumed. At least one of your proposed responsible officers must be an executive director.

Legal Requirements




  • Corporate  vehicle permitted

Hong Kong Company

  • Local physical office required


Share capital or equivalent

·         Minimum paid up capital

USD 650,000


  • Minimum number


  • Corporate directorship allowed


  • Local director required



  • Minimum number


  • Corporate shareholders allowed


  • Local  shareholders required


Service Providers Required

  • Company Secretary


Tax Treatment

Profits tax is levied at the rate of 16.5% for income derived from Hong Kong. Profits derived from outside Hong Kong is tax exempt.

There is no withholding tax on interest or dividends and no capital gains tax.

Duration to Set Up

About 3 months

Distinctive Benefits of Licence

  • Hong Kong imposes no restrictions on foreign investments and has no foreign exchange controls
  • Ease of business establishment and licensing
  • Favourable tax regime
  • Conducive regulatory environment with formidable anti-money-laundering legislation

The Valsen Advantage

  • End to end comprehensive service
  • Speedy and efficient service
  • Expert advice on structuring options
  • Dedicated ongoing compliance support
  • Extensive network pool of service providers


+248 252 5217

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