Hong Kong License No. 149Usually refers to Hong Kong Securities and Futures Commission Category 1、Type 4 and Type 9 Regulated Activities License Portfolio，It's securities trading、Important license configuration for the compliant development of securities consulting and asset management business in Hong Kong。For institutions planning to enter the Hong Kong securities and asset management market，Direct acquisition of ready-made licenses can effectively shorten the preparation period，Reduce the complex review process required to apply from scratch，and complete business deployment faster。
Hong Kong Xintong has long been paying attention to the Hong Kong financial license market，Currently available to help connect Hong Kong No. 149 license acquisition resources，Relevant business arrangements can be carried out immediately after taking over，Suitable for people who want to quickly enter the Hong Kong securities market、Investment institutions and financial enterprises in the asset management market and cross-border financial business scenarios。
Core business positioning of Hong Kong license No. 149
Hong Kong License No. 149 covers securities trading、Three core business scenarios of providing advice on securities and asset management。Business boundaries of different licenses、There are differences in customer asset processing authority and responsible person configuration requirements，Before an enterprise acquires or handles，You should first clarify your business model、Customer type、Fund management methods and subsequent compliance operation arrangements。
- Class 1 license：Mainly used for securities trading business，It is a type of license with a large number of licensed individuals and institutions in the Hong Kong securities market.。
- Class 4 license：Primarily used to provide advice on securities，Usually applied for or configured together with a Category 1 license，To support businesses related to securities consulting and investment research advice。
- Class 9 license：Mainly used for asset management business，It's a private equity fund、Types of licenses that asset management institutions and cross-border investment platforms focus on。
Hong Kong License No. 1：Basic configuration of securities trading business
Hong Kong License No. 1 is a securities trading license。In Hong Kong License No. 149，Type 1 license can be said to be the one with a larger number of holders。As of September 2016，There are 1,093 organizations and 26,125 individuals holding Hong Kong License No. 1 respectively.，Reflecting the fundamental status of this license in Hong Kong’s securities business system。
Based on whether you are qualified to hold client assets，Hong Kong No. 1 license plate can be divided into "big 1 plate" and "small 1 plate"。Big 1 can hold client assets and operate them on their behalf，Therefore, the business carrying capacity is stronger，The market price is generally higher than the small 1 brand。For those planning to start a securities brokerage、For institutions that execute securities transactions and arrange related client assets，Acquire Hong Kong No. 1 license with corresponding authority，Able to enter the actual business operation stage faster。
Hong Kong license No. 4：Securities consulting and professional opinion services
Hong Kong License No. 4 is a Type 4 regulated activity license under the Securities and Futures Ordinance of Hong Kong.，Mainly used to provide professional advice on securities。This license is usually applied for or configured together with the Hong Kong No. 1 license，To form the linkage capability of securities trading and securities consulting business。
Obtain relevant license resources through Hong Kong No. 149 license acquisition method，It can avoid to a certain extent the cumbersome procedures involved in applying to the Securities and Futures Commission of Hong Kong from scratch.，Help enterprises deploy Hong Kong securities market business in a relatively short period of time，Especially suitable for existing customer base、Institutions with investment research capabilities or cross-border securities business needs。
Hong Kong license number 9：An important entrance to the asset management business
Hong Kong License No. 9 is an asset management license，In recent years, it has attracted great attention from large private equity institutions in the Mainland.。Strengthening in Hong Kong stock market、Against the backdrop of tightening domestic private equity regulation，Apply for or acquire Hong Kong No. 9 license，Help investors carry out overseas investment and asset management business through normal compliance channels。
Hong Kong's No. 9 license plate is also divided into "big 9 license plate" and "small 9 license plate"。Big 9 licenses can hold customer assets，And conduct asset management for customers，The business scope and market space are relatively wider。For larger scale、For companies planning to systematically deploy the Hong Kong securities and asset management market，Adopt Hong Kong No. 149 license acquisition method，It is often more conducive to shortening the landing cycle and improving business start-up efficiency.。
ROLicensed person in charge requirements and license combination configuration
There are differences in the specific application and business scope of Hong Kong No. 149 license，However, there are clear requirements in terms of RO (licensed responsible person) configuration.。In principle, each type of license needs to be equipped with more than 2 ROs，In order to meet the Hong Kong Securities Regulatory Commission’s management capabilities、Requirements for business supervision and compliance responsibilities。
In license plate combination configuration，The ROs of Hong Kong No. 1 license and Hong Kong No. 9 license can be shared.。therefore，The Hong Kong No. 149 license only requires 3 ROs.，can meet the arrangement requirements of the relevant person in charge。This configuration method helps enterprises optimize their human resources structure under the premise of compliance.、Control operating costs，And improve the integration efficiency after license acquisition。
The practical value of Hong Kong No. 149 license acquisition
Compared to applying for a license from scratch，Acquisition of ready-made Hong Kong license No. 149 is more suitable for those with higher time requirements.、Institutions that hope to enter the Hong Kong securities and asset management market as soon as possible。Conduct due diligence with professional compliance advisors、License plate status check、RO and business structure assessment，Can better control transaction risks，And ensure stable follow-up business connection。
As a Hong Kong financial license agency service provider with scale advantages in Guangdong Province, Hong Kong Xintong，Focus on the acquisition of Hong Kong No. 149 license、Transfer and handling services。We have on-site staff in Hong Kong，Familiar with Hong Kong’s financial regulatory policies and licensing market dynamics，And through long-term market tracking, we have accumulated Hong Kong No. 149 license transfer resources.，Can provide license screening for enterprises、Trading assistance、Compliance assessment and subsequent operational connection support。
If you plan to acquire Hong Kong license No. 149、Laying out Hong Kong securities trading、Securities consulting or asset management business，We welcome further communication on specific license resources and implementation plans.。
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。
