Disclaimer

The licensing information in relation to companies within Futu Group is listed below: Futu Securities International (Hong Kong) Limited Has 20 licenses and participantship in providing clients with reliable securities trading services. Hong Kong, China: a licensed corporation regulated by the Securities and Futures Commission of Hong Kong (CE No. AZT137), which obtained Type 1 License for Dealing in Securities, Type 2 License for Dealing in Futures Contracts, Type 3 License for Leveraged Foreign Exchange Trading, Type 4 License for Advising on Securities, Type 5 License for Advising on Futures Contracts, Type 7 License for Providing Automated Trading Services, Type 9 License for Asset Management, being registered as MPF Intermediary, SEHK Participant, HKSCC Direct Clearing Participant, SEHK China Connect Exchange Participant, HKSCC China Connect Clearing Participant, SEHK Options Trading Exchange Participant, SEOCH Direct Clearing Participant, HKFE Futures Commission Merchant, and HKCC Clearing Participant. Europe: Is members of London Stock Exchange and Turquoise. Singapore: Is Trading Members of Singapore Exchange Securities Trading Limited and Singapore Exchange Derivatives Trading Limited. Futu Trustee Limited Has Trust or Company Service Provider Licence (License No. TC006475). Futu Lending Limited Has Money Lenders Licence (License No. 1949/2020). Futu Insurance Brokers (Hong Kong) Limited Has Insurance Broker Company License (License No. FB1783). Futu Inc. Is a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 283078/SEC: 8-69739), and a member in good standing of Financial Industry Regulatory Authority (FINRA) and The Securities Investor Protection Corporation (SIPC), authorized to conduct business in compliance with SEC and FINRA. Futu Clearing Inc. Is a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 298769/SEC: 8-70215), a member in good standing of Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC), as well as a member of Depository Trust Company (DTC), a member of National Securities Clearing Corporation (NSCC) and the Options Clearing Corporation (OCC), authorized to conduct business in compliance with SEC and FINRA. Futu Wealth Advisors Inc. Is an investment advisor registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 310790/SEC: 801-119635), regulated by the SEC. Futu Futures Inc. Is a licensed entity registered with the National Futures Association (NFA) (NFA ID: 0523957), and is regulated by the National Futures Association (NFA) and the Commodity Futures Trading Commission (CFTC). Futu Singapore Pte. Ltd. Is a Capital Markets Services Licence holder (License No. CMS101000) licensed by the Monetary Authority of Singapore.
The licensing information in relation to companies within Futu Group is listed below: Futu Securities International (Hong Kong) Limited Has 20 licenses and participantship in providing clients with reliable securities trading services. Hong Kong, China: a licensed corporation regulated by the Securities and Futures Commission of Hong Kong (CE No. AZT137), which obtained Type 1 License for Dealing in Securities, Type 2 License for Dealing in Futures Contracts, Type 3 License for Leveraged Foreign Exchange Trading, Type 4 License for Advising on Securities, Type 5 License for Advising on Futures Contracts, Type 7 License for Providing Automated Trading Services, Type 9 License for Asset Management, being registered as MPF Intermediary, SEHK Participant, HKSCC Direct Clearing Participant, SEHK China Connect Exchange Participant, HKSCC China Connect Clearing Participant, SEHK Options Trading Exchange Participant, SEOCH Direct Clearing Participant, HKFE Futures Commission Merchant, and HKCC Clearing Participant. Europe: Is members of London Stock Exchange and Turquoise. Singapore: Is Trading Members of Singapore Exchange Securities Trading Limited and Singapore Exchange Derivatives Trading Limited. Futu Trustee Limited Has Trust or Company Service Provider Licence (License No. TC006475). Futu Lending Limited Has Money Lenders Licence (License No. 1949/2020). Futu Insurance Brokers (Hong Kong) Limited Has Insurance Broker Company License (License No. FB1783). Futu Inc. Is a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 283078/SEC: 8-69739), and a member in good standing of Financial Industry Regulatory Authority (FINRA) and The Securities Investor Protection Corporation (SIPC), authorized to conduct business in compliance with SEC and FINRA. Futu Clearing Inc. Is a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 298769/SEC: 8-70215), a member in good standing of Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC), as well as a member of Depository Trust Company (DTC), a member of National Securities Clearing Corporation (NSCC) and the Options Clearing Corporation (OCC), authorized to conduct business in compliance with SEC and FINRA. Futu Wealth Advisors Inc. Is an investment advisor registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 310790/SEC: 801-119635), regulated by the SEC. Futu Futures Inc. Is a licensed entity registered with the National Futures Association (NFA) (NFA ID: 0523957), and is regulated by the National Futures Association (NFA) and the Commodity Futures Trading Commission (CFTC). Futu Singapore Pte. Ltd. Is a Capital Markets Services Licence holder (License No. CMS101000) licensed by the Monetary Authority of Singapore.