Hong Kong SFC

Hong Kong’s Securities and Futures Commission (SFC) requires individuals and entities involved in ten “regulated activities” to be license by or registered with the SFC.

As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, the SFC is enshrined with the role of granting licenses to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed under the Securities and Futures Ordinance (SFO) and maintain a public register of licensed persons and registered institutions.

The SFC also participates in monitoring the on-going compliance of licensing requirements by licensees, substantial shareholders of licensed corporations, directors of licensed corporations and substantial shareholders. The SFC also initiates policies on licensing issues.

Type 4: Advising on Securities

  • Giving investment advice to clients relating to the sale / purchase of securities
  • Issuing research reports / analyses on securities

Type 9: Asset Management

  • Managing a portfolio of securities or futures contracts for clients on discretionary basis
  • Managing funds on discretionary basis

We've Changed Names!

We are pleased to inform you that FinEX Asia is now Assured Asset Management.

We’ve changed our name to reflect what we do best – assuring a superior financial experience for global investors. We’re the same – the only thing that’s changed is our new look. We remain driven by the same high standard for service and results-driven performance that you’re accustomed to.

Please contact us with questions at or +852 3893 9588.

Read more about our rebranding initiative here.


Assured Asset Management Investor Relations