List of Financial Activities Regulated by the Hong Kong Securities and Futures Commission
Regulated activities as defined by the Securities and Futures Ordinance are as follows:
| License | Regulated activity | Examples |
| Type 1 | Dealing in securities | Trading /broking stock options for clients
Trading bonds for clients Buying / selling mutual funds and unit trusts for clients Placing and underwriting of securities |
| Type 2 | Dealing in futures contracts | Trading / broking index or commodities futures for clients
Buying / selling futures contracts for clients |
| Type 3 | Leveraged foreign exchange trading | Buying / selling foreign exchange for clients on a margin basis |
| Type 4 | Advising on securities | Giving investment advice to clients relating to the sale / purchase of securities
Issuing research reports / analyses on securities |
| Type 5 | Advising on futures contracts | Giving investment advice to clients relating to the sale / purchase of futures contracts
Issuing research reports on futures contracts |
| Type 6 | Advising on corporate finance | Acting as sponsor for listing applicant in an initial public offering
Advising on the Codes on Takeovers and Mergers and Shares Repurchases Advising listed companies on compliance of Listing Rules |
| Type 7 | Providing automated trading services | Operating an electronic trading platform for matching client orders |
| Type 8 | Securities margin financing | Providing financing to clients for their purchase of stocks in return for client’s stocks as collaterals |
| Type 9 | Asset management | Managing a portfolio of securities or futures contracts for clients on discretionary basis
Managing funds on discretionary basis |
| Type 10 | Providing credit rating services | Preparing reports on the credit worthiness of companies, bonds and sovereigns |
Source: Hong Kong Securities and Futures Commission