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Licence record
Open Securities logo

Open Securities SFC licence AAU795

Wikilix check
Limited
Issuing authority
Securities and Futures Commission
Jurisdiction
Hong Kong
Last checked
Nov 5, 2026

This is Wikilix's record of a licence issued by Securities and Futures Commission. It sets out what the register says, what we checked, and what the authority's own rules protect.

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Licence intelligence

RecordModified Nov 5, 2026

Licence Verification Record

Securities and Futures Commission AAU795

Wikilix read the SFC register on Nov 5, 2026. This is what it said.

Holder
Open Securities Limited logoOpen Securities Limited
Issuing authority
Securities and Futures Commission logoSecurities and Futures Commission
Jurisdiction
Hong Kong flagHong Kong
Effective
Apr 1, 2003
Register status
Active (professional investors only for asset management)

Checked Nov 5, 2026

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.

wikilix.com/brokers/open-securities/licenses/securities-and-futures-commission/aau795Fields on file 8 / 11

Open Open SecuritiesAll Open Securities licencesAbout SFC
Our check
Checked

What we checked

This authorisation is in force but limited — it does not carry the same protections as a full trading licence.

Wikilix check
Limited
Authority strength
Tier 1
Jurisdiction
Hong Kong
Last checked
Nov 5, 2026
Register says
Active (professional investors only for asset management)

Finding

SFC licence held by the subsidiary Open Asset Management Limited (開盤資産管理有限公司, CE AAU795). It covers Type 4 advising on securities since 1 Apr 2003 and Type 9 asset management since 8 Mar 2011, with the condition that Type 9 serves professional investors only. It shares the broker's address and website, and it is not a dealing licence. Client protection: Limited for retail clients: asset management is restricted to professional investors, and retail trading accounts sit with Open Securities Limited under ACS694. Effective: 01 Apr 2003.

Exhibit

Register screenshot, captured Nov 5, 2026
The register

What the authority publishes

Printed as the register prints it. A field that is missing here is one nobody has recorded, not one the register leaves blank.

Licence number
AAU795
Register status
Active (professional investors only for asset management)
Effective from
Expires
No expiry shown
The authority

About SFC

Securities and Futures Commission is the authority that issued this licence, and the jurisdiction it applies in is Hong Kong.

Full name
Securities and Futures Commission
Jurisdiction
Hong Kong
Strength
Tier 1The strictest regimes: high capital requirements, segregated client money and a compensation scheme.
Established
1989
Oversight
A government or statutory body
Firms we track under it
189 firms
Regulates
forex, Stocks, Derivatives, Securities, Futures
Licences it issues
Type 3 Leveraged FX, Type 1 Dealing in Securities
Typical cost of a licence
HKD 500000+
Public register
Searchable by the public
Transparency
High
Protection

What this licence protects

SFC's own rules for the firms it authorises.

  • No compensation schemeNo mandatory insurance (but strict fund segregation)
  • Client money kept separate
  • Negative balance protection
  • Complaints routeSFC Complaints / FDRC
  • Maximum leverage1:13
This describes the authority's regime, not how Open Securities applies it.
The holder

Who holds this licence

The licence above is recorded against Open Securities. A licence is issued to a legal company, so the companies below are what you would search a corporate register for.

Open Securities logo
Broker
Open Securities Limited
Based in
Hong Kong
Operating
Above 20 years
Wikilix score
34.0the firm’s overall score, not a rating of this licence

Recorded companies

None of these matches the name the register printed, so we do not say which one holds this licence.

  • Open Securities LimitedHong Kong · Apr 21, 1994
  • Open Securities Asset ManagementHong Kong
Provenance

Where this record came from

Every date below has already happened. We do not publish a promised next-update date, because we do not schedule per-licence re-checks.

Official source
The issuing authority’s registerPublished by the authority, not by Wikilix.
Last checked by Wikilix
Record last edited
When this entry was last changed in our database, which may be a correction rather than a change at the register.
Evidence held
A screenshot of the register entry is on file.
Wikilix records what an authority published. It does not issue or endorse authorisations.
Also on record

Other licences Open Securities holds

One other licence is on record for Open Securities.

Frequently Asked Questions

Questions about this licence

Answered from this register entry and the authority’s own record.

Most Popular Questions
Licence AAU795 was issued by Securities and Futures Commission (SFC), the financial authority for Hong Kong.
Open Securities holds this SFC licence. A licence on record means the authority published an entry; it is not an endorsement.
We located this entry on the SFC register. Note that confirming a register ENTRY is not the same as confirming a live licence — the register’s own wording on this page is what states its current standing.
Wikilix rates SFC tier 1 — the strictest band, with high capital requirements, segregated client money and a compensation scheme.
This page links straight to the SFC register. Search it for AAU795, and for the name Open Securities rather than the trading brand.
Open Securities has one other licence on record with Wikilix, across one jurisdiction. They are listed further down this page.
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