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A full set of procedures and RO required to acquire Hong Kong No. 149 license plate

Financial card care question

Interpretation of the conditions required to acquire a Hong Kong company with No. 49 financial license. Hong Kong financial license market situation. The Hong Kong stock market is more international.,There are more institutional investors,The transaction volume of overseas and local institutional investors in Hong Kong accounts for approximately 65% ​​of the total transaction volume(39% and 26% respectively),Overseas investors accounted for more than 40% of the total transaction volume。

Because investors in the two places are different,May have different judgments on stock valuation and market prospects,Mainland investors should be cautious when participating in the Hong Kong securities market。In terms of product types,The Hong Kong stock market offers different categories of products,Includes derivative warrants、futures、options、CBBC、exchange traded funds、Unit Trust/Mutual Fund、Real Estate Investment Trusts and Debt Securities,Provide investors with different risk preferences with choices under different market conditions。

Hong Kong stock market also allows regulated short selling。Conditions required for acquiring Hong Kong No. 49 company

Things to note

  1. The new shareholder’s credit needs to be good
  2. New shareholders need to have certain financial strength
  3. Whether the licensee needs to continue to hire or there are already candidates needs to be determined in advance
  4. 1The license plate requires more than 3 license holders
  5. The situation of the subject of transfer if the salary of the license holder is between HKD 60,000 and HKD 100,000
  6. Transfer intention:clear。
  7. quote:*0010,000 Hong Kong dollars,There is still room for negotiation on price。
  8. license:
  9. 9Number plate (small plate)
  10. Time to get cards:201*Year。
  11. company shareholders:Single corporate legal person。
  12. RO:Can be affiliated,Can be communicated separately。
  13. Company status:The company has no business operations,Can be changed directly

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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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