Checking a Hong Kong sponsor on the official register

The SFC public register is the route for confirming whether a firm is a Type 6 corporation and what conditions sit on its licence. A Type 6 entry on its own does not establish permission to act as sponsor: the test also covers whether the licence or certificate of registration permits sponsor work, and whether any condition restricts that work. What follows covers the lookup routes, the wording that decides the question, and the limits of what a register check can prove. No named firm status or sponsor mandate is established here.

What the public register covers

The register lists all licensees — both licensed individuals and licensed corporations — and registered institutions under the Securities and Futures Ordinance since the SFO commenced on 1 April 2003. It also lists licensees under the Anti-Money Laundering and Counter-Terrorist Financing Ordinance since the regime for virtual asset service providers commenced on 1 June 2023.

It also displays the licence or registration records of persons or institutions previously licensed or registered under the SFO or AMLO. It does not provide records of persons who were previously executive officers of registered institutions.

Use is not open-ended. Under section 136(4) of the SFO and section 53ZRH of the AMLO, the register's purposes are to let any member of the public ascertain whether they are dealing with a licensed person or registered institution in matters connected with a regulated activity (or with a licensed person in matters connected with VA services), and to ascertain the particulars of that licence or registration. The Personal Data (Privacy) Ordinance requires that information taken from the register be used only for those specified purposes.

The three search routes

Route	Use it when
Search by name or CE number	You already hold the firm's name or its CE number
Search by licence type	You are narrowing by regulated activity type, such as Type 6
Search by certain business activities (corporation only)	You are filtering corporations by business activity

How to run the check

Open the SFC register page. Choose "Search by name or CE number" if you already hold the firm's name or CE number. Choose "Search by licence type" if you need to narrow by regulated activity instead. Choose "Search by certain business activities (corporation only)" when filtering corporations. Open the corporation's own record. Read the regulated activities shown on it. Read every condition attached to the licence. Compare those conditions against the sponsor activity you have in mind. Check the SFC enforcement news page for publicly announced enforcement actions. Contact the SFC at enquiry@sfc.hk if any doubt about current status remains.

Why a Type 6 entry is not the answer by itself

Paragraph 17.1(a) of the SFC Code of Conduct applies to a licensed corporation or registered institution that is licensed or registered under the SFO for Type 6 regulated activity and permitted under its licence or certificate of registration to undertake work as a sponsor, and which is appointed as a sponsor by an applicant seeking a listing of its securities on the Stock Exchange under the Listing Rules. Type 6 is one half of that test; permission under the licence or certificate of registration is the other. A Type 9 licence does not stand in for sponsor permission.

The Code also sets out what the role involves. Under paragraph 17.1(b), a sponsor's primary role is to provide assurance to the Stock Exchange and the market that the listing applicant complies with the Listing Rules and other relevant legal and regulatory requirements, and that the listing document gives investors enough particulars and information to form a valid and justifiable opinion of the applicant's shares, financial condition and profitability. A sponsor also advises and guides the applicant on the Listing Rules and other regulatory requirements.

Appointment is not optional for the applicant. Footnote 3 to paragraph 17.1 records that under Listing Rule 3A.02, an applicant seeking a listing of its securities on the Stock Exchange must appoint a sponsor to assist with its application. Where more than one sponsor is appointed, paragraph 17.1(e) states that the joint appointments do not relieve any sponsor of its responsibilities, and each sponsor is responsible for ensuring the requirements in that paragraph are fully discharged.

What the SFC's sponsor FAQ adds

Q4 of the SFC's sponsor regime FAQ addresses restrictive conditions directly. Only Type 6 intermediaries that are not subject to the relevant condition — a condition restricting them from advising on the Listing Rules, or a condition restricting them from acting as sponsor for an application for the listing of any securities on a recognised stock market — are allowed to act as a sponsor. A restriction of that kind bars the stated sponsor activity.

Q3 gives an example of eligibility: the firm must be licensed for Type 6 regulated activity and have at least two Principals who have satisfied the eligibility criteria under paragraph 3.2.3 of the Sponsor Guidelines. That two-Principal requirement is presented as an example, not as a register field, and it does not support any inference about the actual staffing of any firm.

Read the FAQ as bounded context alongside the register record. It does not independently prove named permission for any firm, and it does not replace the current official record.

Limits of a register check

The register is updated daily at the end of the day, so it may not contain the most up-to-date information. Registration and licensing status can change between daily updates. Where there is any doubt, the SFC should be contacted directly for the most current information.

Publishing the register also carries no endorsement: the SFC does not guarantee the performance or creditworthiness of any licensed person or registered institution.

Two further limits matter for sponsor work. No standalone sponsor-eligibility field has been verified, so do not assume the register carries one. And no named entity's live status has been queried here — current condition or status needs a current official record or confirmation from the regulator.

What to keep in your file

Record the CE number you checked. Record the date and time of the lookup. Keep the conditions wording as displayed. Note any SFC enquiry you made and the answer received.