HKEx Participantship &Tranding Right
香港上環皇后大道中 287-299號 299QRC 11樓1104室
電話：+852 3955 0277
TYPES OF PARTICIPANTSHIP
No1. - Securities Trading:
1) Exchange Participantship of The Stock Exchange of Hong Kong Limited ("SEHK");
2) Clearing Participantship of Hong Kong Securities Clearing Company Limited ("HKSCC"):
A. Direct Clearing Participant
B. General Clearing Participant
3) Trading Right of The Stock Exchange of Hong Kong Limited ("SEHK")
In addition to SFC License application, ComplianceOne Consulting Limited can prime our clients who wish to establish securities trading or futures trading with the documentary proof necessary in the application for participantship in HKEx (including exchange and clearing participantship). Our premium services cover the whole application procedures, response to all enquiries raised by HKEx and preparatory works before the company in operation.
No2. - Futures Trading:
1) Exchange Participantship of Hong Kong Futures Exchange Limited ("HKFE");
2) Clearing Participantship of HKFE Clearing Corporation Limited:
A. Clearing Participant
B. General Clearing Participant
3) Trading Right of Hong Kong Futures Exchange Limited ("HKFE")
No3. - Options Trading:
1) Options Exchange Participantship of SEHK:
A. Options Trading Exchange Participant
B. Options Broker Exchange Participant
2) Clearing Participantship of The SEHK Options Clearing House Limited ("SEOCH"):
A. Direct Clearing Participantship
B. Options Broker Exchange Participant
3) Trading Right of The Stock Exchange of Hong Kong Limited ("SEHK")
*** Remarks: To fulfil the participantship requirement, all Exchange Participants (EPs) are required to hold at least one Trading Right of the respective Exchanges, i.e. a Stock Exchange Participant must hold a Stock Exchange Trading Right (SETR) whereas a Futures Exchange Participant must hold a Futures Exchange Trading Right (FETR). All new Trading Rights are issued by the Exchanges at a fee of HK$500,000 each and are nontransferable. ***
APPLICATION CRITERIA - PARTICIPANTSHIP OF "SEHK" + TRADING RIGHT
1) Being a SFC Licensed Corporation of Type 1 Regulated Activity (Dealing in Securities)
2) Maintain the minimum requirements under Financial Resources Rules (“FRR”)
3) Submit application fee and deposit
APPLICATION PROCEDURES
1) Prepare and submit application documents; draft an Operations and Risk Control Plan; and establish a trading system (about 1 month)
2) HKEx will process the submission of application (about 3 months)
3) Reply questions from HKEx; System linkage/ Testing (about 1 month)
APPLICATION CRITERIA - PARTICIPANTSHIP OF "HKFE " + TRADING RIGHT
1) Being a SFC Licensed Corporation of Type 2 Regulated Activity (Dealing in Futures)
2) Maintain the minimum requirements under Financial resources rules (“FRR”)
3) Submit application fee and deposit