6612Securities and commodity contracts dealing activities
證券及期貨處理活動
This activity involves the buying and selling of securities and commodity contracts on behalf of clients or for the firm's own account. It includes activities such as trading in stocks, bonds, options, and futures, as well as providing related advisory services.
Subclasses in this class
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.
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 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
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 securities and commodity contracts dealing activities 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