SFC adopts paperless individual licenses

The Securities and Futures Commission (SFC) will no longer issue printed licences to individuals.

However, individual licensing records will, remain published on the SFC online public register. Any printed licence issued to an individual ceases to be effective for indicating that the individual is licensed. The SFC will continue to issue printed licence certificates for licensed corporations and these are still required to be displayed in a prominent place of business.

Licensed individuals are encouraged to return their printed licences to the SFC.

 
SFC adopts paperless individual licenses 2015-11-16T00:00:00.0000000 /insights/publications/compliance-and-regulatory-consulting/sfc-adopts-paperless-individual-licences publication {DA6CC51B-740E-439A-B283-2BBFB5326BAA} {DE05ECA4-1852-4BEF-A4E1-491CB497F9CB} {65648E61-ED08-40DF-AEE6-DB90ABD49289} {871EB752-F3E8-4991-AA79-545153989F0D} {E8669D15-7AE5-41D4-BE77-6C5E07C03F38} {95D7F66C-11BB-4E7D-B07C-48874A321F98}

Related Services

Duff & Phelps Compliance and Regulatory Consulting

By Jurisdiction

Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

By Jurisdiction
Duff & Phelps Valuation Advisory Services

Portfolio Valuation

Alternative investment valuation for private equity and hedge funds.

Portfolio Valuation

Insights