Licence or regulatory framework
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) RulesSFC-HK-TYPE1-TYPE9
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) refers to an institutional financial benchmark and regulatory standard monitored by Securities and Futures Commission (HK) (HK), currently calibrated at HKD 10M (Paid-Up Share Capital Floor) as of October 2026.
Updated
Coverage of Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules
8 articles
EU MiCA & DORA Compliance
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing i
Global Enforcement & Licensing Rules
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Supervisory Reporting Timelines, Technical Standards & Audit Trails (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing 4
Prudential Capital & Client Money Segregation
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing r
Clone Firm Detection & Register Audits
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Client Asset Segregation, Daily Reconciliation & Insolvency Protection (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing s
EU MiCA & DORA Compliance
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Cross-Border Passporting Rights vs. Reverse Solicitation Boundaries (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing t
Global Enforcement & Licensing Rules
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Third-Party ICT Outsourcing, Register of Information & Exit Plans (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing c
Prudential Capital & Client Money Segregation
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Retail Conduct Rules: Leverage Caps, Margin Close-Out & Risk Warnings (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing 3
Clone Firm Detection & Register Audits
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Official Register Verification Workflow & Clone Firm Red Flags (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing c