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Conditions for applying for Hong Kong No. 149 license、Process and fees

Financial card care question

The Hong Kong market implements a financial license management system,Financial institutions can conduct stock trading at the same time、financial derivatives、Trading in foreign exchange and gold。9The license is a Type 9 regulated business qualification license issued by the Securities and Futures Ordinance of Hong Kong.,i.e. asset management license。

Domestic private equity institutions hold this license,It means obtaining a "pass" in the international capital market,Not only can you directly participate in overseas investments,,It can also attract funds from overseas investors。Shanghai-Hong Kong Stock Connect has been opened,For overseas funds,The low valuations of some A-share stocks have a certain appeal,More and more international investors are paying attention to A-shares。At present, No. 9 license plate has become the most popular type of license for many mainland institutions.。

How to apply for Hong Kong Financial License No. 149?handle、Conditions for transfer of Hong Kong license No. 149、process and

cost

?How to apply for Hong Kong Financial License No. 149?handle、Conditions for transfer of Hong Kong license No. 149、process and

cost

?So what is the specific situation like??Below I will give you some introductions。

Apply for Hong Kong Securities and Futures Commission No. 9 general licensing

Require

:The SFC will only issue licenses to applicants who meet the fit and proper criteria(include companies or people)And will evaluate whether the applicant is a suitable candidate from the following aspects::a)Financial condition and solvency;b)Academic or other qualifications and experience,and considerations in this regard must have regard to the nature of the functions proposed to be performed by the applicant;c)Are you capable of doing your job competently?、conduct relevant regulated activities honestly and fairly;d)Reputation、character、Reliability and financial soundness。

Note:Licensed corporations and individuals affiliated with licensed corporations must comply with other legal requirements including immigration and taxation。Hong Kong Financial No. 149 License Application、transfer,Hong Kong License No. 149

Application conditions

、process、

cost

?Shenzhen focuses on various industrial and commercial services,Including various company registrations,Financial license application,accounting services。Professional team one-stop service,Save you worry、save money。


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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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