Hong Kong SFC Type 11 (Dealing in OTC Derivative Products) Licensed Firms

SFO Type 11 - Dealing in OTC derivative products

Type 11 covers dealing in OTC derivative products. This licence regime targets dealer-banks, swap dealers and prime brokers offering bilateral OTC derivatives to Hong Kong clients.

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Top firms currently licensed for Dealing in OTC derivative products (by licensed staff)

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Type 1 - Dealing in securities Type 2 - Dealing in futures contracts Type 3 - Leveraged foreign exchange trading Type 4 - Advising on securities Type 5 - Advising on futures contracts Type 6 - Advising on corporate finance Type 7 - Providing automated trading services Type 8 - Securities margin financing Type 9 - Asset management Type 10 - Providing credit rating services Type 12 - Providing clearing agency services Type 13 - Providing depositary services for relevant CIS