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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

Hong Kong No. 149 plate application process,Hong Kong 149 license

Hong Kong license plate 149 is a type 1 securities transaction、4A combination of investment advice and 9 asset management licenses,The application needs to meet the requirements of Hong Kong company registration、500HK$10,000 capital、Strict conditions such as Class A office address and qualified person in charge,Suitable for cross-border financial business。
Financial card care question

What is Hong Kong License No. 149?,How much does the transfer cost?

Hong Kong License No. 149 is a key qualification for mainland enterprises to enter the Hong Kong market,Includes securities trading、Consulting and asset management type three licenses。This article explains in detail the difference between license plates No. 1/4/9、Application conditions and transfer fees,Provide existing license transfer plan。
Financial card care question

Peng Yi:Hong Kong No. 149 plate transfer,Hong Kong No. 149 plate processing

This article systematically analyzes the core requirements for Hong Kong No. 149 license application,Focus on the classification criteria of licensed corporations、Fit and proper requirements、Responsible personnel requirements and internal control system,Provide comprehensive guidance for organizations applying for regulatory licenses from the Hong Kong Securities and Futures Commission。
Financial card care question

Hong Kong No. 149 License Industry Processing Trends - Agency Conditions and Fees

Hong Kong license No. 149 is managed separately for different financial businesses.,The application period is about 6 months。Enterprises can obtain it by registering a new company or acquiring an existing licensed company.,Third-party agency can significantly shorten the processing time。This article explains in detail the application conditions、Cost trends and latest market developments。
Financial card care question

Hong Kong No. 1, No. 4, No. 9 license transfer conditions and fee details

Hong Kong No. 1、4Number、9No. 1 financial license is favored by mainland asset management companies。This article systematically analyzes the specific conditions for license transfer、Fee differences and SEC review requirements,including company structure、Key factors such as qualifications of responsible personnel。
Financial card care question

Hong Kong No. 1 plate acquisition cycle and costs

The acquisition of Hong Kong No. 1 license can shorten the time compared with application,But it involves RO replacement review。Fees vary significantly depending on license type,The market prices and applicable scenarios of the small No. 1 brand and the large No. 1 brand are different.,Investors need to weigh options based on business needs。
Financial card care question

How to apply for Hong Kong No. 1 Securities Trading Company

This article provides a detailed analysis of the application process for Hong Kong’s No. 1 securities trading license.、Regulatory requirements and prerequisites,including company structure、Professional qualifications、Core elements such as capital requirements,A practical guide for financial practitioners。
Financial card care question

Hong Kong No. 1 License Acquisition,Acquisition of Hong Kong No. 1 license plate

The acquisition of Hong Kong No. 1 license is becoming the main channel for enterprises to obtain securities trading qualifications。This article systematically analyzes acquisition conditions、Process and Compliance Advantages,Help enterprises enter the Hong Kong financial market efficiently。
Financial card care question

Hong Kong Securities and Futures Commission:Legally acquire Hong Kong 149 license holders

The latest circular from the Securities and Futures Commission of Hong Kong states that,There are regulatory risks in obtaining a 149 license through the acquisition of licensed companies,May result in disciplinary action or even license revocation。Current licensed company prices soar,Applying from scratch is cheaper and gets approval faster。Mainland companies already control 13% of Hong Kong licensed corporations,China Securities Regulatory Commission strengthens review of inexperienced applicants。
Financial card care question

Process and conditions for new application for Hong Kong No. 1 financial license

Hong Kong’s No. 1 financial license allows licensed institutions to engage in securities transactions、Brokerage services and other businesses,This article systematically analyzes the application process、Eligibility conditions and latest regulatory requirements。
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Hong Kong and Chinese team · Senior financial compliance experts