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What are Regular On-Site Inspections?

Regular on-site inspections are non-thematic periodic inspections conducted by the SFC. The SFC selects corporations based on risk, with newer licensed corporations and licensed corporations whose returns suggest a profile different from their peer group being regarded as higher risk.

Quick Facts

SFC Licensed Corporations in Hong Kong

Spotlight on Intermediary Supervision

Did You Know…

4 Facts Regarding Intermediary Supervision

  1. Risk-Based Supervision Approach

  2. Regular On-Site Inspections

  3. Mandatory Reporting

  4. Fit & Proper Requirement

Regular On-Site Inspections

The SFC conducts regular on-site inspections of licensed entities to ensure compliance with regulatory requirements.

These inspections can be comprehensive.

Factors that influence this assessment include:

  • Scale

  • Complexity of the business

  • Types of products offered

  • Clientele base

This approach allows the SFC to allocate resources effectively and address potential risks proactively.

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