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A Certificate of Authorization lets companies officially designate specific employees to handle regulated tasks under Hong Kong's financial and securities laws. It's commonly used by licensed corporations to formally authorize qualified staff members to supervise key business activities or act as responsible officers.

Financial firms need these certificates to show the Securities and Futures Commission (SFC) exactly who's in charge of different regulated functions. Each certificate clearly states what activities the authorized person can oversee, their role and responsibilities, and the specific regulatory permissions granted to them. This helps maintain proper oversight and accountability in Hong Kong's financial sector.

Get a Certificate of Authorization when your financial firm needs to designate key personnel for regulated activities in Hong Kong. This becomes essential before letting staff supervise trading operations, manage client assets, or act as responsible officers for SFC-licensed functions.

Timing matters most when onboarding new senior staff, restructuring your compliance team, or expanding into new regulated services. For example, if you're adding forex trading to your services or appointing a new head of asset management, you'll need the certificate in place before they can legally start their duties. This protects your firm from regulatory issues and ensures proper oversight of sensitive operations.

• Basic Authorization Certificate: Covers standard regulated activities like securities trading or asset management, listing specific functions and responsibilities
• Temporary Authorization Certificate: Used for interim appointments or temporary replacements of key personnel, typically valid for up to 6 months
• Modified Scope Certificate: Tailored for specialized activities or restricted functions, often used when expanding into new service areas
• Group Authorization Certificate: Designed for corporate groups with multiple licensed entities, coordinating permissions across related companies
• Responsible Officer Certificate: Specific to senior executives who oversee regulated activities, including detailed competency requirements and supervisory scope

• Licensed Corporations: Financial firms that need to formally authorize staff for regulated activities, such as securities trading or asset management
• Responsible Officers: Senior executives who receive authority through the certificate to supervise regulated activities and ensure compliance
• Securities and Futures Commission: Reviews and approves Certificates of Authorization, monitors compliance, and maintains regulatory oversight
• Compliance Teams: Draft and maintain the certificates, ensure proper documentation, and track authorized personnel
• Legal Advisors: Help structure the certificates to meet regulatory requirements and protect corporate interests

• Personal Details: Gather full names, titles, and qualifications of all personnel being authorized for regulated activities
• Scope Definition: List specific regulated functions and activities each person will oversee or perform
• Regulatory Status: Confirm current SFC licenses and any existing authorizations or restrictions
• Company Information: Include corporate details, registration numbers, and relevant business licenses
• Internal Approvals: Obtain board resolutions or management sign-offs authorizing the appointments
• Documentation: Prepare supporting evidence of qualifications and experience for SFC submission
• Review Process: Use our platform to generate a legally compliant certificate that includes all required elements

• Identification Details: Full legal names and positions of both the authorizing company and authorized individuals
• Scope of Authority: Precise description of permitted regulated activities under SFC guidelines
• Duration and Limits: Clear start date, expiry date (if applicable), and any restrictions on the authorization
• Regulatory References: Specific mentions of relevant SFC regulations and licensing requirements
• Corporate Authorization: Evidence of board approval or executive sign-off for the delegation
• Compliance Statement: Confirmation of adherence to Hong Kong securities laws and regulations
• Execution Block: Designated spaces for authorized signatures, company chop, and witnessing requirements

A Certificate of Authorization differs significantly from an Authorization Letter in several key aspects. While both documents grant permission, their scope, formality, and regulatory weight vary considerably in Hong Kong's legal framework.

• Regulatory Purpose: Certificates of Authorization are formal documents required by the SFC for regulated financial activities, while Authorization Letters handle simpler, general business permissions
• Legal Weight: Certificates carry regulatory authority and must meet strict SFC requirements; Authorization Letters are more flexible and typically handle routine business matters
• Duration: Certificates usually remain valid until formally revoked or modified, while Authorization Letters often cover specific timeframes or transactions
• Verification Process: Certificates require formal regulatory approval and documentation, whereas Authorization Letters typically need only internal company approval
• Usage Context: Certificates specifically govern regulated financial activities, while Authorization Letters handle general business representations or access rights