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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

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Hong Kong No. 149 plate acquisition,There are ready-made Hong Kong No. 149 plates for transfer

The acquisition of Hong Kong No. 149 license plate can broaden the scope of investment targets,Increase customer asset allocation options,Enjoy Hong Kong’s tax advantages。This article systematically analyzes acquisition channels、Compliance points and staffing requirements for practitioners。
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Conditions for applying for Hong Kong No. 149 license、Process and fees

Hong Kong License No. 9 is a necessary qualification for asset management business,This article explains the application requirements in detail、Process and related fees,Help financial institutions carry out cross-border asset management business in compliance with regulations。
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Hong Kong No. 149 license agency

Hong Kong No. 149 license agency service covers No. 1 securities transactions、4Application for No. 9 Securities Consulting and No. 9 Asset Management License。Understand the functions of various types of license plates、Application requirements and RO configuration strategy,Help enterprises conduct financial business in Hong Kong in compliance with regulations。
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Hong Kong No. 149 plate application requirements,New case analysis

Hong Kong No. 149 license application needs to meet the licensing person in charge、Hong Kong company establishment、Core requirements such as business structure and financial status。Latest case display,Helping companies connect with international capital markets through compliance applications,The licensee sharing mechanism can reduce the difficulty of application。
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Hong Kong No. 1 Securities Trading License Application

Hong Kong License No. 1 is the core securities trading license,Ranks first among the ten types of licenses held。This article analyzes its business scope in detail、Application conditions (company structure、Requirements from the person in charge、capital standards) and compliance points,Help enterprises handle efficiently。
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Acquisition of Hong Kong No. 149 License_Processing of Hong Kong No. 149 License

Hong Kong License No. 149 includes Securities Trading License No. 1、4No. 9 securities consulting license and No. 9 asset management license, etc.。1The licenses are divided into large licenses that can hold customer assets and ordinary small licenses.;4The number plate is usually applied together with the No. 1 license plate.;9No. 1 license is a popular choice for mainland private equity institutions to invest overseas.。Quickly obtain business qualifications through license acquisition,Need to meet regulatory requirements such as licensed person in charge。
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What are the requirements for a new application for Hong Kong No. 1 license?

Application for Hong Kong No. 1 license requires at least two heads of organizations to have relevant qualifications or five years of industry experience.,Registered capital and working capital comply with regulations,The company entity must be a Hong Kong registered entity。Securities trading can be carried out after obtaining a license、Stock options trading、Bond trading and other financial services。
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What are the different business scopes of Hong Kong license plates 1 to 9?

The Hong Kong Securities Regulatory Commission divides financial licenses into numbers 1-9,Each type of license corresponds to a different financial service scope。Among them, license No. 9 is specifically used for asset management.,Assist overseas investors in managing their assets,It is an important way for domestic private equity to go overseas.。Understanding the business differences between various types of licenses is crucial for financial practitioners。
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2026 Summary of the latest Hong Kong financial license classifications and application requirements No. 1-9

This article details the classification of financial licenses No. 1-9 in Hong Kong.、Application conditions and latest procedures,Focus on analyzing the application requirements for the No. 9 asset management license,Including licensed responsible person qualifications、Office address regulations, etc.,Help you fully understand Hong Kong’s financial license management system。
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Hong Kong No. 149 license agency

Detailed explanation of Hong Kong No. 149 license agency service,including securities trading、Application requirements for Type III consulting and asset management licenses、RO staffing and funding thresholds,Help mainland investors conduct financial business in Hong Kong in compliance with regulations。
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Hong Kong and Chinese team · Senior financial compliance experts