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  Home > Service > Company Incorporation > China Company Incorporation > CEPA Foreign Enterprise > Securities & Futures Services Company

Specific Arrangements for CEPA

  • Hong Kong and Macau service suppliers are permitted to establish joint venture futures brokerage companies in the Mainland
  • Hong Kong securities companies which satisfy the qualification requirements as foreign shareholders of foreign-invested securities companies and Mainland securities companies, which satisfy the requirements for establishing subsidiaries, are permitted to establish in Guangdong Province joint venture securities investment advisory companies

Requirements for Service Suppliers

  • Holding the license issued by Hong Kong Securities and Futures Commission, and meeting the conditions required by China Securities Regulatory Commission
  • Engaged in futures brokerage for more than five years, and legally continued
  • Free from punishment by banking and securities regulatory organs, financial organs, and judicial bodies in the past five years
  • The paid-up amount of registered capital and shareholders¡¯ equity no lower than RMB 50 million
  • They shall make profit consecutively in the past two years

Required Documents

  • Futures Brokerage Company
    • Application for Incorporation
    • Resolutions of shareholders¡¯ meeting
    • Particulars of the applicant
    • Explanatory notes on the background of the applicant and shareholders¡¯ equity
    • Audit reports of the last two financial years
    • Certificate of incorporation
    • Explanatory notes from Hong Kong Securities and Futures Commission
    • Letters of legal opinions
    • Resolutions of shareholders¡¯ meeting on proposed share transfer
    • Schedules of proposed changes of the futures brokerage company invested by applicants
    • Certificates of service suppliers
  • Joint Venture Securities Investment Advisory Company
    • Application for Incorporation
    • Articles of association, and contracts
    • Description of shareholding structure
    • Shareholders¡¯ business license or registration certificate, and certificates of qualification for securities and financial businesses
    • Description of incumbency conditions for members of the Board of directors and related supporting documents
    • Domestic and overseas shareholders¡¯ audited financial statements for the three years before application
    • Supporting documents for the company¡¯s sustainable development
    • Shareholders¡¯ commitment documents
    • Explanatory notes from Hong Kong Securities and Futures Commission
    • Letter of legal opinions
    • Enterprise Name Approval in Advance Notice
    • Other documents as required by China Securities Regulatory Commission
Sino Corp CPA Limited
17/F., Siu Ying Commercial Building, 151-155 Queen's Road Central. Hong Kong.
Tel: (852) 2191 2999 Fax: (852) 2694 8597