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 License No. 1 Application，Apply for a securities trading license

2025-01-05

Hong Kong License No. 1 is the key qualification for carrying out securities trading activities，Application involves strict regulatory requirements、Talent matching and funding thresholds。This article explains the application process in detail、Difficulties and compliance points，Help investors complete license applications efficiently。

Hong Kong securities license value increases significantly，Guide to applying for Hong Kong No. 149 plate

2025-01-03

After the implementation of the "Interim Provisions" of the China Securities Regulatory Commission，The value of Hong Kong license No. 149 has increased significantly。New regulations clarify Hong Kong stock research reports and investment advisory business models，Put forward higher requirements for the qualifications of licensed institutions，Provide a legal framework for cooperation between securities fund institutions in the two places。

Hong Kong No. 1 license application，Hong Kong securities trading license application

2025-01-01

Hong Kong No. 1 license is the core qualification for securities trading，Allow licensed institutions to offer shares、bonds、Fund and other brokerage services。Applications are subject to different capital requirements depending on the applicant type，And equipped with more than 2 company executives。Understanding the application requirements and procedures is crucial to successful application。

Overseas company registration

Company maintenance

Category 1：Payments and Remittances

Category 2：Securities/Investment

Category III：Digital Assets/VASP

Category 4：Bank/Insurance/Trust

Category 5：Specific products/others

Continuous Compliance

Compliance Consulting/Review

Asian bank account opening

International bank account opening

wealth management

Immigration/Identity Planning

Lin Zixuan

Hong Kong License No. 1 Application，Apply for a securities trading license

Hong Kong securities license value increases significantly，Guide to applying for Hong Kong No. 149 plate

Hong Kong No. 1 license application，Hong Kong securities trading license application