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Category 1：Payments and Remittances

Hong Kong MSO License (money services) US MSB license (Payment/exchange) British AEMI Electronic Money License Singapore MAS payment license Canadian MSB license

Category 2：Securities/Investment

Hong Kong SFC 1-12 number plate Hong Kong SFC No. 9 Asset Management British FCA license (Securities/Investment) U.S. SEC RIA license Australian AFSL license

Category III：Digital Assets/VASP

Hong Kong VASP License New York State BitLicense, USA California DFAL encryption license

Category 4：Bank/Insurance/Trust

Hong Kong Trust Company License (TCPS) Hong Kong Insurance Broker License (IA) Hong Kong Bank/Virtual Banking License

Category 5：Specific products/others

Hong Kong Money Lenders License (Cai Tsai License) Hong Kong Gold and Silver Trading Center License Consultation on difficult and complicated diseases for overseas licenses

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Lin Zixuan

Owned by Mr. Lin Zixuan 15 year securities、Asset management and investment banking experience，Served as senior compliance officer in several licensed financial institutions。He is well versed in the Hong Kong Securities and Futures Commission (SFC) regulatory requirements，Successfully dominated the SFC 1st 1、4、9 Application and annual maintenance of licenses (including RO licenses for legal persons and individuals)。He is particularly skilled in developing and enforcing financial resource rules (FRR)、internal control system，as well as ensuring that the company is fully compliant with the SFC’s requirements in terms of customer vetting (KYC) and anti-money laundering (AML/CFT)，To meet strict regulatory compliance standards。

Areas of expertise：SFC license (Type 1, 4, 9) Application and maintenance、RO/MIC Approval、internal control system、Client Asset Rules (FRR)、KYC/Anti-Money Laundering Policy

Previous institutions：international investment bank、Licensed securities trading company、asset management company

Hong Kong No. 149 license application process

Hong Kong No. 149 license application：Differences in use、Application requirements and process analysis

Hong Kong License No. 149 is the three major brokerage licenses that the mainland is concerned about，Includes No. 1 securities trading license、4Investment Advice License No. 9 and Asset Management License No. 9。With the opening of Shenzhen-Hong Kong Stock Connect，The demand for processing has increased significantly，However, the China Securities Regulatory Commission’s approval is becoming increasingly strict。Application must meet the requirements of the licensed person in charge、Company registration and other conditions，This article explains in detail the uses of the three types of license plates、Application requirements and complete process。
Hong Kong financial license application requirements

Hong Kong financial license application requirements、Business scope and compliance layout

The transfer of Hong Kong No. 149 license requires certain company conditions to be met，Including Hong Kong registration、Paid-in capital requirements and qualified responsible personnel allocation。Learn about the complete transfer process and fee structure，Ensure compliance operations。
Hong Kong No. 149 license application conditions

Hong Kong License No. 149：Qualification requirements、Business scope and handling practices

Hong Kong No. 149 license application must meet the Securities Regulatory Commission’s requirements on the company’s financial status、Strict assessment of personnel qualifications and business capabilities。1License to carry out securities transactions，4License to provide investment advice，9License for asset management，Each license corresponds to different business scopes and application entities。
Hong Kong No. 149 license application process

Hong Kong License No. 149：Business scope、Process and capital requirements

Hong Kong License No. 149 includes Securities Trading License No. 1、4No. 9 investment consulting license and No. 9 asset management license，Corresponding to securities trading respectively、Investment advice and asset management services，It is a key compliance certificate for enterprises to carry out diversified financial businesses.。
Guidelines for the opening of securities dealer licenses

Brokerage licenses open：CEPA joint venture path and analysis of private capital entry

Alibaba invested in Hong Kong Ruidong Group and established a joint venture，With the help of CEPA agreement, we will soon obtain a domestic brokerage license.。This marks a new path for private capital to enter the securities industry，Hong Kong License No. 149 licensing conditions and CEPA Supplementary Agreement 10 have become key。
Hong Kong No. 149 license application process

Hong Kong License No. 149：Process、Application requirements and access paths

This article details Hong Kong 1、4、9Conditions for applying for a financial license、Application process、Core content such as review time and capital requirements，Includes comparison of two access methods，Assisting companies in conducting securities transactions in Hong Kong、Provide compliance guidance for investment advice and asset management businesses。
Hong Kong 149 License Acquisition Guide

Hong Kong No. 149 License Acquisition：Market advantage、Transaction process and fee points

This article systematically analyzes the entire process of acquiring Hong Kong No. 149 license，Covered from intention to determine、Key steps from due diligence to CSRC review，And explain in detail the plan and cost of upgrading from No. 49 plate to No. 1 plate，A practical guide for investors。
Hong Kong 149 License Transfer Guide

Hong Kong No. 149 plate transfer：use、Process and Responsible Personnel Requirements

Hong Kong license plate 149 is mainly used in the international investment market，Acquired quickly through transfer acquisition。The transfer must be acquired together with the company，Involving CSRC applications、Responsible for staffing and other processes。Professional agency assistance reduces costs and increases efficiency。
Hong Kong No. 9 License Application：Admission conditions、Responsible Personnel and Capital Requirements | Hong Kong Xintong Financial Compliance Services

Hong Kong No. 9 License Application：Admission conditions、Responsible Personnel and Capital Requirements

Hong Kong license No. 149 is an important qualification for asset management business，Application must meet company registration requirements、Competence、Appointment of responsible personnel and financial resources and other conditions。This article explains in detail the application requirements and procedures。
Hong Kong Securities and Futures Commission License Transfer Guide

Hong Kong financial license configuration：Market advantage、Application requirements and transfer practices

Professionally provide ready-to-transfer services for Hong Kong No. 1-9 financial licenses，Focus on the transfer conditions of No. 9 license (asset management)、Quotes and Qualification Requirements，Covers securities transactions、Futures and other business licenses。
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Gold License-Compliance Consultant8:00 AM – 11:00 PM
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Hong Kong and Chinese team · Senior financial compliance experts