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What are the functions of Hong Kong license plates No. 1 to 9?

Financial card care question

If you have financial related experience and knowledge in Hong Kong,You must know that all financial activities in Hong Kong have corresponding licenses and are subject to corresponding supervision.,The functions of each license plate are not nearly the same.,For license plates No. 6 to No. 8, which have attracted much attention recently, I can briefly introduce to you some of their respective functions.,According to the information compiled by Hong Kong Xintong International, it can be simply divided into the following categories::6number plate:Advising on institutional financing Acting as sponsor for an initial public offering for a listing applicant,and "Corporate Acquisitions"、Provide advice on Mergers and Share Buy-backs Code Provide advice to listed companies on compliance matters under the Listing Rules。

Mainly the specific opinions on the participation of companies such as listed companies and financing institutions。7number plate:No. 8, an electronic trading platform that provides automated trading services to match customer orders.:Provide securities margin financing to customers who buy stocks and use the customer's stocks as collateral. The above are some information compiled by Hong Kong Xintong International based on past handling experience.,If you want to apply for a Hong Kong financial license,Then you can consult Hong Kong Xintong International to provide you with professional business services!

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Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong Kong MSO Licenseandmoneylenders licenseApply for service,Assist customers to applyUS MSB license、NFA、RIA、Canadian MSB license、Mainstream overseas financial licenses such as Australia and Mexico,Support enterprises to achieve compliance expansion of cross-border financial business。Also availableCayman Islands Offshore Company Registration、Offshore fund establishment and global compliance operations and other services,Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more,Please contactHong Kong Information Communications Consultant

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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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