Hong Kong’s financial market continues to be favored by Chinese companies。From the beginning of the year to August 8, 2018，The financing scale of listing in Hong Kong has reached HK$187 billion.。Behind the active competition in Hong Kong’s financial industry，It is the market’s response to Hong Kong’s regulatory system、System transparency and confidence in enforcement，It has also led more and more companies to focus their cross-border financial business layout in Hong Kong.。
Hong Kong No. 149 plateacquisition and transfer，Usually suitable for those who want to build quicklySecurities trading、Securities consulting andasset ManagementInstitutions with relevant compliance structures。We combine practical experience，Focusing on the business purposes of Hong Kong No. 149 plate、transfer process、Responsible personDescription of requirements and handling suggestions。
Business purposes of Hong Kong No. 149 plate
Hong Kong license number 149 is not a single business license，Rather, the marketHong Kong Securities and Futures CommissionCategory 1、Common names for combinations of Type 4 and Type 9 regulated activity licenses。There are obvious differences in the business scope corresponding to different licenses：
- Hong Kong License No. 1 is mainly used to provide securities trading services。
- Hong Kong No. 4 license plate is mainly used to provide securities trading consulting services。
- Hong Kong No. 9 license plate is mainly used to provide customers with asset management services。
Hong Kong No. 149 license plate portfolio mainly targets the international investment market。Some customers apply for or acquire Hong Kong No. 149 license plate，Carry out business layout between the international market and the mainland market。Compared with the mainland market，Hong Kong’s financial market generally has higher leverage ratios and lower financing interest rates，Therefore, in cross-border asset allocation、Overseas investment management and private equity institutions have strong appeal in the international exhibition industry。
in actual cases，Many mainland private equity institutions will pass Hong Kong license number 149，Allocate broader overseas assets for customers，And establish a licensed operating platform that meets Hong Kong regulatory requirements。
Hong Kong No. 149 plate transfer process
Hong Kong financial license cannot be transferred individually。If an enterprise wishes to obtain Hong Kong license number 149 through acquisition，Usually needs to be acquired together with the licensed company，and around company equity、License conditions、Responsible person、Registered address、Conduct comprehensive due diligence and change arrangements for business address and compliance records, etc.。
The core judgments involved in the transfer of Hong Kong No. 149 plate include:：
- To acquire a “big name” or a “small name”，That is, the business scope of the license、Client asset size、Whether past operating conditions and regulatory records match the buyer’s needs。
- Is it necessary to change the responsible person?，To meet the requirements of the Hong Kong Securities Regulatory Commission on the management structure and competency of licensed companies。
- Do you need to change the company’s registered address and actual business address?。
- Do you need to submit detailed change application materials to the Hong Kong Securities and Futures Commission?。
- Are there historical compliance issues?、Client Asset Arrangement、Unfinished business or regulatory communication matters。
During the transfer process of Hong Kong No. 149 plate，The buyer needs to communicate with the Hong Kong Securities and Futures Commission for compliance，and submit complete、Change application materials that are clear and consistent with regulatory logic。due to transaction structure、license plate status、Staffing arrangements and review and approval pace will affect the final result.，It is recommended that enterprises entrust professional institutions with experience in Hong Kong financial licenses to assist in promoting acquisitions。
Requirements from the person responsible for Hong Kong No. 149 plate
Each type of Hong Kong financial license usually requires at least two individual licensees。therefore，When applying for or transferring Hong Kong No. 149 plate，Responsible personnel allocation is a key link in approval and delivery。
From a cost and efficiency perspective，It is best for companies to give priority to identifying responsible personnel who hold multiple types of license qualifications at the same time.。Category 1 can be covered if the responsible person、Type 4 and Type 9 regulated activities，will help reduce the number of hires，Reduce company labor costs，and improve the stability of subsequent operations of the license portfolio。
Due to the limited market supply of individual Hong Kong financial license holders,，The right candidate is not easy to find。We have connected with a considerable number of individual licensed personnel resources in Hong Kong，Can be combined according to the license requirements required by the customer，Assist in arranging various configuration plans for Hong Kong No. 149 plates，And completed the transfer and acquisition of Hong Kong No. 149 license plate at a lower comprehensive cost。
Advice on acquisition and handling of Hong Kong No. 149 plate
Hong Kong Xintong is the largest financial license processing service provider in China and Hong Kong.，Ten years of senior management experience，Has helped more than 500 companies obtain Hong Kong financial licenses。Regardless of whether the company chooses to apply for a new，Or directly acquire the existing Hong Kong No. 149 license plate resources?，We can all provide quotation plans that are 20% off the price of our peers.。
In the long-term process of docking with the Hong Kong Securities Regulatory Commission，We have accumulated a large amount of processing resources，Can address the lack of responsible personnel、Lack of individual licensed personnel、Not sure how to register a Hong Kong company、Customers who don’t know what type of Hong Kong company should be registered，Customize a complete Hong Kong financial license application solution。
To learn more about the transfer of Hong Kong No. 149 plate、acquisition、Responsible for staffing、Key points for company changes and China Securities Regulatory Commission approval，It is recommended to communicate with us directly，Professional consultants will evaluate feasible paths and processing costs based on the actual situation of the company.。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
