只有目前／过往持有牌照的人士可申请索取本身的牌照纪录，若某公司以招聘或审查背景為理由向本会索取纪录，其申请将不获受理。
如欲索取牌照纪录，须向本会递交已签署的申请文件正本，当中须註明以下资料：
请将申请文件邮寄至：香港鰂鱼涌华兰路18号港岛东中心54楼，证券及期货事务监察委员会中介機構部發牌科。我們會通知閣下親身領取牌照紀錄。請注意，如索取文件副本，或須繳付費用。
一般而言，牌照（除设有期限的临时牌照外）只会被暂时吊销或撤销才会失效。牌照持有人必须向证监会缴付年费及递交周年申报表，否则其牌照会被暂时吊销或撤销。
最後更新日期: 2020年7月3日
香港证券及期货事务监察委员会（简称证监会）于本网站免费提供一套繁简字体转换软件（该软件）。证监会允许本网站的使用者利用该软件将本网站内容由繁体中文版转换成为简体中文版。证监会不会就该软件欠妥之处承担任何法律责任，亦不会就其品质及性能作出任何担保；尤其是在无损前述的一般性的原则下，证监会无需就该软件对某用途的恰当性、其品质或可商售性承担任何该等明示或隐含的、法定或非法定的法律责任。
证监会明确陈述，本会并无核准或认可本网站内容的简体中文版，以及对于本网站内容的简体中文版不承担任何责任或法律责任（不论是何种及如何引致的责任或法律责任）。证监会同时明确陈述，本网站的简体中文版纯粹是利用该软件将繁体中文版内的中文字体转换成简体中文字而得来的，当中并不涉及香港特区与内地的用词及语句的对应转换。对于该简体中文版的内容的恰当性，证监会不承担任何责任或法律责任。在任何情况下，使用者都不应视本网站内容的简体中文版为其繁体中文版的对应版本。使用者应该参照该简体中文版的已发布繁体中文版来核实该简体中文版的网站内容，并且应该在依赖本网站内容的简体中文版或根据其内容行事之前，就该版本的内容的法律效力、有效性和效果自费征询独立的法律意见。
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