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Futu Holdings Limited ("Futu") (Nasdaq: FUTU) is an advanced technology company transforming the investing experience by offering a fully digitized brokerage and wealth management platform. Futu was listed on Nasdaq on March 8, 2019. Futu and its subsidiaries provide investing services, including trading and clearing services for United States, Hong Kong SAR, China Connect, and Singapore stocks, margin financing, wealth management, market data, and interactive social features to individual investors through its proprietary one-stop digital platforms, Futubull and moomoo.By creating a network centered around its users, Futu provides connectivity to users, investors, companies, analysts, media, and key opinion leaders. Futu also provides Employee Stock Ownership Plan (ESOP) solutions and IPO distribution services through its enterprise service brand FUTU I&E.

Futu's subsidiaries hold the licenses issued by the Securities and Futures Commission of Hong Kong (SFC), including the 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, and Type 9 License for asset management. Its subsidiaries hold memberships with the London Stock Exchange ("LSE") and the LSE’s Turquoise platform, securities and derivatives trading membership with Singapore Exchange (SGX).

Futu's US subsidiaries, solely or collectively, are regulated by the United States Securities and Exchange Commission (SEC), and are members of Financial Industry Regulatory Authority, Inc. (FINRA), the Securities Investor Protection Corporation (SIPC), as well as a member of Depository Trust Company (DTC), National Securities Clearing Corporation (NSCC) and the Options Clearing Corporation (OCC).

In Australia, Futu's subsidiary holds an Australian Financial Services (AFS) licence issued by the Australian Securities and Investments Commission (ASIC).

In Singapore, Futu's subsidiary has received approvals-in-principle for all SGX memberships, and holds the MAS Capital Markets Services (CMS) licence and Exempt Financial Adviser (EFA) status.

Futu aims to become an influential financial services platform globally, by adhering to the missions of prioritizing users and user experience, driving high innovation across its product upgrade, and enriching products and services offering that meet the evolving needs of investors, companies, and the industry.

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The licensing information in relation to companies within Futu Group is as follows: Futu Securities International (Hong Kong) Limited Holder of 20 licenses and participantship in providing clients with reliable securities trading services.   In Hong Kong, China: Futu HK is a licensed corporation regulated by the Securities and Futures Commission of Hong Kong (CE No. AZT137) and has obtained Type 1 Licence for Dealing in Securities, Type 2 Licence for Dealing in Futures Contracts, Type 3 Licence for Leveraged Foreign Exchange Trading, Type 4 Licence for Advising on Securities, Type 5 Licence for Advising on Futures Contracts, Type 7 Licence for Providing Automated Trading Services, and Type 9 Licence for Asset Management. Futu HK is 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.   In Europe: Futu HK is a member of London Stock Exchange and Turquoise.   In Singapore: Futu HK is a trading member of Singapore Exchange Securities Trading Limited and Singapore Exchange Derivatives Trading Limited. Futu Trustee Limited Holder of Trust or Company Service Provider Licence (Licence No. TC006475). Futu Lending Limited Holder of Money Lenders Licence (Licence No. 2034/2021). Futu Insurance Brokers (Hong Kong) Limited Holder of Insurance Broker Company Licence (Licence No. FB1783). Futu Inc. 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). Futu Clearing Inc. 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). Futu Wealth Advisors Inc. An investment advisor registered with and regulated by the U.S. Securities and Exchange Commission (SEC) (CRD: 310790/SEC: 801-119635). Futu Futures Inc. A licensed entity registered with the National Futures Association (NFA) (NFA ID: 0523957) and regulated by the National Futures Association (NFA) and the Commodity Futures Trading Commission (CFTC). Futu Singapore Pte. Ltd. Registered with the Monetary Authority of Singapore (MAS), Futu SG is a Capital Markets Services Licence (Licence No. CMS101000) holder with the Exempt Financial Adviser Status. Futu SG has also received approvals-in-principle for all SGX memberships. Futu SG is set to be admitted as Clearing Member of The Central Depository (Pte) Ltd (CDP) , Trading Member of Singapore Exchange Securities Trading Limited (“SGX-ST”), Trading and Clearing Member of Singapore Exchange Derivatives Trading Limited (“SGX-DT”), and Depository Agent of CDP. Futu Trustee (Singapore) Pte. Ltd. A Singapore trust company licensed by the Monetary Authority of Singapore to carry on trust business and services (Licence Number: No.TC000074). Futu Securities (Australia) Ltd A securities dealer registered with and regulated the Australian Securities and Investments Commission (ASIC). Futu AU holds the Australian Financial Services Licence (Licence No. 224663).
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The licensing information in relation to companies within Futu Group is as follows: Futu Securities International (Hong Kong) Limited Holder of 20 licenses and participantship in providing clients with reliable securities trading services.   In Hong Kong, China: Futu HK is a licensed corporation regulated by the Securities and Futures Commission of Hong Kong (CE No. AZT137) and has obtained Type 1 Licence for Dealing in Securities, Type 2 Licence for Dealing in Futures Contracts, Type 3 Licence for Leveraged Foreign Exchange Trading, Type 4 Licence for Advising on Securities, Type 5 Licence for Advising on Futures Contracts, Type 7 Licence for Providing Automated Trading Services, and Type 9 Licence for Asset Management. Futu HK is 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.   In Europe: Futu HK is a member of London Stock Exchange and Turquoise.   In Singapore: Futu HK is a trading member of Singapore Exchange Securities Trading Limited and Singapore Exchange Derivatives Trading Limited. Futu Trustee Limited Holder of Trust or Company Service Provider Licence (Licence No. TC006475). Futu Lending Limited Holder of Money Lenders Licence (Licence No. 2034/2021). Futu Insurance Brokers (Hong Kong) Limited Holder of Insurance Broker Company Licence (Licence No. FB1783). Futu Inc. 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). Futu Clearing Inc. 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). Futu Wealth Advisors Inc. An investment advisor registered with and regulated by the U.S. Securities and Exchange Commission (SEC) (CRD: 310790/SEC: 801-119635). Futu Futures Inc. A licensed entity registered with the National Futures Association (NFA) (NFA ID: 0523957) and regulated by the National Futures Association (NFA) and the Commodity Futures Trading Commission (CFTC). Futu Singapore Pte. Ltd. Registered with the Monetary Authority of Singapore (MAS), Futu SG is a Capital Markets Services Licence (Licence No. CMS101000) holder with the Exempt Financial Adviser Status. Futu SG has also received approvals-in-principle for all SGX memberships. Futu SG is set to be admitted as Clearing Member of The Central Depository (Pte) Ltd (CDP) , Trading Member of Singapore Exchange Securities Trading Limited (“SGX-ST”), Trading and Clearing Member of Singapore Exchange Derivatives Trading Limited (“SGX-DT”), and Depository Agent of CDP. Futu Trustee (Singapore) Pte. Ltd. A Singapore trust company licensed by the Monetary Authority of Singapore to carry on trust business and services (Licence Number: No.TC000074). Futu Securities (Australia) Ltd A securities dealer registered with and regulated the Australian Securities and Investments Commission (ASIC). Futu AU holds the Australian Financial Services Licence (Licence No. 224663).
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