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Hong Kong company annual review Hong Kong company audit Overseas company annual review

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

Continuous Compliance

Ongoing compliance support OFC & LPF Continuous Compliance Customized compliance documents

Compliance Consulting/Review

VASP/FinTech Compliance Mock review/regulatory inquiry

Asian bank account opening

Hongkong (HSBC/Standard Chartered/Hang Seng) Singapore (DBS/UOB/OCBC) Mainland China (company/individual)

International bank account opening

America (United States/Canada) Europe (UK/Switzerland)

wealth management

Family trust establishment Offshore private banking services CRS tax consulting

Immigration/Identity Planning

Hong Kong talents/experts Singapore Investment Immigration
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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

Financial card care question

What are the requirements for applicants to apply for Hong Kong No. 149 license?

香港149号牌照申请对负责人员有明确要求：每类受规管活动需委任至少两名负责人员直接监督，其中至少一名必须是执行董事并向证监会申请核准。
Financial card care question

How much does it cost to transfer Hong Kong licenses No. 1, 4 and 9?

The transfer price of Hong Kong license No. 1, No. 4, No. 9 depends on whether it has products or not.、The combination varies。1License for securities trading，4No. License for Securities Consulting，9license is equivalent to a private equity license，Transfer active。This article analyzes the purpose of each license and market pricing factors。
Financial card care question

Hong Kong No. 1 license application，Hong Kong No. 1 Securities Trading License Application

Hong Kong No. 1 license is the core qualification for securities trading，Allow licensed institutions to offer shares、bonds、Fund and other trading services。Applications are subject to specific capital requirements and executive allocations，There are significant differences in application requirements between individuals and institutions。
Financial card care question

2025Hong Kong Securities and Futures Commission License Application Guidelines for Hong Kong No. 149 License Transfer Application

This article details the complete process of Hong Kong Securities Regulatory Commission license application and No. 149 license transfer in 2025.，including application requirements、Materials required、Approval time and cost analysis。Combined with the latest market data，Discuss the competitive advantages and development trends of Chinese securities firms in the Hong Kong financial market，Practical guidance for financial institutions。
Financial card care question

Hong Kong No. 149 license agency，Agency conditions，Agency process

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。
Financial card care question

Procedures and fees for transferring Hong Kong No. 149 license

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。
Financial card care question

Conditions for applying for Hong Kong No. 149 license

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。
Financial card care question

What businesses can be carried out with Hong Kong license No. 149?

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.。
Financial card care question

Alibaba obtains Hong Kong financial brokerage license，Disclosure of conditions for becoming a Hong Kong No. 149 license holder

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。
Financial card care question

Hong Kong 1、4、9Number plate application process，Processing conditions，review time

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。
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Hong Kong and Chinese team · Senior financial compliance experts