Role of sponsor responsible and executive officers in Hong Kong

It is the responsibility of the sponsor's management to ensure that principals appointed by the firm meet the criteria required in the Sponsor Guidelines. In order to qualify as a principal, an individual must be a responsible officer or executive officer of the sponsor firm and satisfy one of the eligibility criteria... Read more: Role of sponsor responsible and executive officers in  Hong Kong

SFC licensing and on-going compliance in Hong Kong

Sponsors must be licensed or registered for "Type 6" regulated activity under the Hong Kong Securities and Futures Ordinance (SFO). In addition, they must meet the eligibility criteria prescribed in the Securities and Futures Commission's (SFC's) Additional Fit and Proper Guidelines for Corporations and Authorised Financial Institutions applying or continuing to act as Sponsors and Compliance Advisers (Sponsor Guidelines) in order to be permitted to undertake sponsor work as part of their Type 6 regulated activity... Read more: SFC licensing and on-going compliance in Hong Kong