The “Introduction of SFC Licensing Regime for Fund Managers” webinar co-organised by aiM Group and the HKSI Institute was successfully held on September 15, 2025.
During the session, Kevin Yung (Director of Optima Partners) provided a broad while comprehensive overview of the Securities and Futures Commission (SFC) Type 9 (Asset Management) licence requirements. Kevin also shared some practical examples when implementing SFC requirements in various aspects, including licence types, substantial shareholders eligibility, criteria for Responsible Officers, roles of Directors and Managers-in-Charge, capital requirements, as well as specific considerations applicable to certain types of fund managers. Kevin further highlighted common regulatory pitfalls and offered some actionable advice on licensing applications.
The engaging Q&A session was moderated by Samuel Choi, Founder of aiM Group, and Senior Fellow and Individual Membership Committee Member of the HKSI Institute. Kevin addressed the questions raised by the participants by sharing observations and insights drawn from his consulting experiences.
[Photo: Samuel Choi (right), Founder of aiM Group, and Senior Fellow and Individual Membership Committee Member of the HKSI Institute, with Kevin Yung (left), Director of Optima Partners]
Looking ahead, aiM Group will continue focusing on hot topics of asset management, and conducting more courses to share more insights and practical experiences with the industry.
