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Hong Kong License No. 149 Application:Qualification requirements、Capital compliance and fee handling

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As mainland financial institutions accelerate their expansion of overseas business,The demand for domestic investment funds for overseas asset allocation continues to increase,Hong Kong financial licenseApplications also remain popular for a long time。Hong Kong’s financial market implements a strict financial license management system,After holding the corresponding Hong Kong financial license,Institutions can conduct stock trading in the Hong Kong market、Forex、Gold, financial derivatives and other types of financial product transactions and services。

For mainland securities and futures、For fund companies and asset management institutions,ApplyHong Kong License No. 149Contribute to comprehensive participation in international capital market investment,Enrich investors’ product choices,and seize international market opportunities in advance,Improve the company's asset management capabilities and market competitiveness,Gradually move towards an international asset management institution。

Business Value of Hong Kong License No. 149

After successfully obtaining Hong Kong license No. 149 and completing the licensing,The company has the ability to provide stocks to overseas financial institutions、fund、Qualifications for asset and other financial product services。Relying on the Hong Kong capital market platform,Institutions can not only further develop overseas stocks、Funds and other products,You can also immigrate through investment、Investment consulting and other value-added services,Provide richer services to high-net-worth clients、Diverse financial service solutions。

Personnel and qualification requirements for Hong Kong No. 149 license application

Companies applying for Hong Kong license No. 149,At least two senior managers are required to be responsible for company management,and shall appoint one of them as executive director。shareholder、staff、Senior managers and the applicant company itself,All need to comply withHong Kong Securities and Futures Commissionfit and proper persons。

During the review process, the Hong Kong Securities and Futures Commission,Usually, multiple conditions of the applicant company will be comprehensively evaluated.,include:

  • Solvency and overall financial condition;
  • Educational background and other relevant qualifications;
  • Relevant experience in carrying out the regulated business to be applied for;
  • Is it fair?、Ability to conduct regulated business activities fairly;
  • Company Reputation and Financial Soundness。

Capital and Compliance Requirements for Hong Kong License No. 149

After successfully applying for Hong Kong No. 149 license and officially holding the license,The company must continue to maintain paid-in share capital and liquid capital,shall not be lower than regulatory requirementsMinimum capital requirements

likeLicenseeHold client funds,Must open an account in a Hong Kong bank,and segregate and store client funds。All licensees must also maintain appropriate financial solvency、financial condition、Records related to internal compliance and internal control systems,To meet ongoing regulatory and compliance review requirements。

Hong Kong No. 149 license application fees and processing support

The application fee for Hong Kong No. 149 license will depend on the company background.、Business scope、The complexity of the structure and the application path vary.,It is recommended to carry out a professional assessment before launching,to clearly request a budget、Timing and Compliance Preparation Key Points。

Hong Kong Xintong has been deeply involved in the Hong Kong financial license field for 11 years,Have the resources to quickly connect with the Hong Kong office,Can provide customers with support related to Hong Kong No. 149 license application and transfer。We provide a Hong Kong No. 149 license transfer solution that is lower than 20% of the industry,And supporting full hosting、One-stop service,Has served more than 500 domestic and foreign customers in total。Details about application for Hong Kong No. 149 license,Welcome to contact Hong Kong Xintong,We will serve you wholeheartedly。


About Hong Kong Xintong

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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Hong Kong and Chinese team · Senior financial compliance experts