661Activities auxiliary to financial service activities (except insurance and pension funding)
金融服務輔助活動(保險及退休基金除外)
This group includes activities that support financial services, excluding those related to insurance and pension funding. It encompasses services such as financial consulting, investment advisory, and the operation of financial markets, which facilitate the functioning of financial institutions and enhance their service offerings.
Classes in this group
Licences and approvals
What this activity needs to operate
Activities under this code trigger the following licensing regimes. Emerhub prepares and files each application on your behalf.
Money Broker Approval
Hong Kong Monetary Authority (HKMA)
Approval required under the Banking Ordinance (Cap. 155) for any person who, for reward, negotiates, arranges or facilitates agreements between other persons in respect of deposits, currency transactions or specified instruments. Approval criteria in the Eleventh Schedule cover fitness and propriety of directors and controllers, financial soundness and adequate controls.
Applies to interbank money and foreign exchange broking
- Capital requirement
- Minimum paid-up capital of HKD 5M (or equivalent in an approved currency)
Official sourceVerified 2026-07-14
SFC Licence for Type 1 Regulated Activity (Dealing in Securities)
Securities and Futures Commission (SFC)
Required for corporations that trade, broker or distribute securities in Hong Kong, including stockbrokers, placing agents and securities dealers. Licensing is under the Securities and Futures Ordinance (Cap. 571) and firms must meet the Securities and Futures (Financial Resources) Rules on an ongoing basis.
- Capital requirement
- HKD 5M paid-up share capital + HKD 3M liquid capital (standard); HKD 10M paid-up if providing securities margin financing or acting as custodian of a private OFC; no paid-up requirement and HKD 500K liquid capital for approved introducing agents or proprietary traders
- Processing time
- Approximately 15 weeks for a licensed corporation application (SFC published estimate)
Official sourceVerified 2026-07-14
SFC Licence for Type 2 Regulated Activity (Dealing in Futures Contracts)
Securities and Futures Commission (SFC)
Required for corporations that deal in futures contracts for clients or solicit orders in futures, including futures brokers and commodities trading firms. Licensed under the Securities and Futures Ordinance (Cap. 571) with ongoing financial resources obligations.
- Capital requirement
- HKD 5M paid-up share capital + HKD 3M liquid capital (standard); no paid-up requirement and HKD 500K liquid capital for approved introducing agents, proprietary traders or futures non-clearing dealers
- Processing time
- Approximately 15 weeks for a licensed corporation application (SFC published estimate)
Official sourceVerified 2026-07-14
SFC Licence for Type 4 Regulated Activity (Advising on Securities)
Securities and Futures Commission (SFC)
Required for corporations giving advice or issuing research and analyses on the acquisition or disposal of securities, such as investment advisers and research houses. Firms that do not hold client assets can operate under a licensing condition with reduced financial requirements.
- Capital requirement
- No paid-up capital requirement + HKD 100K liquid capital if subject to the licensing condition not to hold client assets; otherwise HKD 5M paid-up + HKD 3M liquid capital
- Processing time
- Approximately 15 weeks for a licensed corporation application (SFC published estimate)
Official sourceVerified 2026-07-14
SFC Licence for Type 6 Regulated Activity (Advising on Corporate Finance)
Securities and Futures Commission (SFC)
Required for corporations advising on corporate finance matters such as takeovers, mergers, listings and compliance with the Listing Rules, including IPO sponsors and corporate finance advisory firms. Sponsors of listing applications face higher capital requirements under the Financial Resources Rules.
Applies to corporate finance advisory and IPO sponsorship work
- Capital requirement
- Non-sponsor not holding client assets: no paid-up capital + HKD 100K liquid capital; non-sponsor holding client assets: HKD 5M paid-up + HKD 3M liquid capital; sponsor: HKD 10M paid-up + HKD 3M liquid capital (HKD 100K liquid if not holding client assets)
- Processing time
- Approximately 15 weeks for a licensed corporation application (SFC published estimate)
Official sourceVerified 2026-07-14
Trust or Company Service Provider (TCSP) Licence
Companies Registry (Registry for Trust and Company Service Providers)
Required under the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615) for any person carrying on a business of providing trust or company services in Hong Kong, such as forming companies, acting as nominee director or company secretary, providing registered office addresses or acting as trustee. Applicants and their ultimate owners, partners and directors must pass a fit and proper test; the licence is valid for three years.
Applies to trustee and custodian service providers
Official sourceVerified 2026-07-14
Standard compliance
Compliance every Hong Kong company shares
Beyond anything specific to this activity, every Hong Kong company handles two-tiered profits tax, the annual return (Form NAR1) within 42 days of its incorporation anniversary, audited accounts, MPF enrolment for staff, and a company secretary. Emerhub runs all of it on your behalf.
See the full Hong Kong compliance calendarIncorporate in Hong Kong
Starting a activities auxiliary to financial service activities (except insurance and pension funding) business in Hong Kong?
Emerhub incorporates your company, registers the business nature above with the IRD, files every licence application, and runs your company secretary and compliance calendar. You provide the documents; Emerhub handles every government interaction.
Start incorporation with Emerhub