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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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Ongoing compliance support OFC & LPF Continuous Compliance Customized compliance documents

Compliance Consulting/Review

VASP/FinTech Compliance Mock review/regulatory inquiry

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

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

wealth management

Family trust establishment Offshore private banking services CRS tax consulting

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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

The price of Hong Kong No. 149 license plate and the functions of Hong Kong No. 1469 license plate

This article details the application requirements for Hong Kong No. 149 license，Focus on analyzing the fit and proper requirements for licensed corporations、Company registration requirements、Competency guidance and Responsible Officer (RO) qualifications and responsibilities。Covers compliance requirements under the regulatory framework of the Securities Regulatory Commission，Provide comprehensive guidance to applicants。
Financial card care question

Acquisition of Hong Kong No. 149 plate acquisition_transfer case analysis

This article systematically analyzes the key aspects of the acquisition and transfer of Hong Kong No. 149 plates，Covers actual case analysis、Complete transfer process、Responsible personnel qualification requirements and cost optimization strategies，Provide practical guidance for companies planning to obtain this license。
Financial card care question

Hong Kong No. 1 license application process

To apply for Hong Kong No. 1 license, you need to meet RO、funds、Company and other conditions，After submitting the materials, the China Securities Regulatory Commission will review the financial、personnel、Reputation etc.，The fees are divided into big 1 card and small 1 card according to whether the investor's assets are held.。
Financial card care question

What are the numbers 1 to 9 in Hong Kong?，Application conditions for Hong Kong license plates 1 to 9

Hong Kong financial licenses No. 1-9 are divided into securities trading、9 categories including investment consulting and asset management，Each type of license has different functions。1The number plate can be used for securities trading，4Provide investment advice，9Number Plate Management Portfolio。Understanding license application conditions and combination usage strategies is crucial to conducting financial business。
Financial card care question

Hong Kong No. 1 financial license agency

It is difficult to apply for Hong Kong’s No. 1 financial license (securities license)，As of September last year, only 1,093 institutions held it。The agency process requires preparing materials that comply with the Securities and Futures Ordinance and submitting them to the Securities Regulatory Commission，The company must be registered in Hong Kong，Qualified risk management systems and licensed personnel are required。
Financial card care question

Compliant Hong Kong No. 149 plate transfer，Hong Kong 149 license legal issues

Hong Kong Securities and Futures Commission’s latest quarterly report shows the number of licensed institutions hits a new high，Regulatory focus includes reform of listing decision-making structure、Improved asset management transparency and accountability mechanism for core functional managers。This article systematically analyzes the legal compliance points and regulatory trends involved in the transfer of No. 149 plates.。
Financial card care question

Hong Kong 149 license company transfers shares，Help Hong Kong No. 149 company to go overseas

Hong Kong License No. 9 is a necessary qualification for carrying out asset management services，It can be obtained through new application or acquisition of existing licensed companies.。The processing needs to meet the company structure、Personnel qualifications and funding requirements，High value and strict application threshold。
Financial card care question

Hong Kong No. 1 Plate Acquisition Guide，How much does it cost to transfer

Hong Kong No. 1 license is divided into two categories: large and small according to the scope of the business.，Significant difference between purchase price and capital requirements。Small No. 1 license only requires HK$500,000 in working capital，Suitable for brokerage introduction business；Big No. 1 license requires HK$5 million in capital，Suitable for securities financing business。China Securities Regulatory Commission assesses the qualifications of covered entities、financial situation and other factors，After the transfer, the company must continue to fulfill its compliance responsibilities under the Securities and Futures Ordinance。
Financial card care question

Summary of the differences and application process conditions for Hong Kong financial licenses No. 1-9

This article systematically sorts out the core differences and application requirements for Hong Kong financial licenses No. 1-9，Focus on analyzing the capital requirements of the sixth category of institutional financing licenses、Client Money Management and Ongoing Compliance Obligations，Provide organizations with a clear reference for license application paths。
Financial card care question

What are the uses of Hong Kong License No. 149?，149Legal transfer of license plate

Hong Kong license No. 149 is a key qualification for carrying out specific financial businesses，This article comprehensively analyzes its core uses、The capital threshold of HKD 5 million in the application conditions，And the complete process of legal transfer，Compare No. 1 at the same time、4Number、9Functional differences of license plates。
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Hong Kong and Chinese team · Senior financial compliance experts