about Us Research and Insights Contact us
Number copied,Please add WeChat to discuss in detail

What are the channels for applying for securities dealer licenses in Hong Kong 1.4.9_

Financial card care question

Hongkong

  1. 9The license is currently the most sought-after license resource among the top ten brokerage licenses in Hong Kong.,After the Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect were launched successively,,Hongkong
  2. 9There is even greater demand for license applications,More mainland companies want to apply for Hong Kong
  3. 9License to integrate with the international market,Seeking a broader development platform。Mainland people want to apply for Hong Kong
  4. 9To apply for a securities dealer license, you can usually find an entrusted agent.。

Hong Kong 1.4.9 license application is to operate securities transactions、Securities consulting、Hong Kong license resources for asset management,All are reviewed and approved by the Securities and Futures Commission of Hong Kong.。So,Let’s analyze the expansion of these three licenses respectively.。

first,Hong Kong License No. 1,Qualifications required by enterprises engaged in securities trading activities,It has more holders than the other nine categories,Generally, you will apply together with Hong Kong License No. 4 - Securities Consulting.,To improve the company's service sector,broker a deal。

————Hou————Hong Kong No. 4 license is a securities consulting business qualification,Generally, it is to make relevant suggestions to clients regarding securities.,And the suggestions made must have reliable reference,Therefore, the Securities Regulatory Commission

Require

Practitioners need to pass relevant tests,To screen out staff qualified to provide securities opinions,Practitioners shall not intentionally mislead clients into purchasing securities.,Otherwise, it will be investigated and handled according to relevant laws and regulations.。

And Hong Kong License No. 9,As an asset management license,It is a key target for the layout of mainland private equity institutions.。Industry insiders believe,9The license is indeed one of the mainstream ways for large domestic private equity companies to go overseas.。Many private equity management funds intend to use Hong Kong as a platform for international investor capital inflows. Looking back at the processing situation of Hong Kong’s No. 9 license last year,A total of 165 institutions have obtained Hong Kong No. 9 licenses from the Hong Kong Securities and Futures Commission.。

But in recent years,The difficulty of applying for Hong Kong’s No. 9 license is also increasing.,The steps are also more complicated,Therefore, many people are considering agency or acquisition channels.。————Hou————Mainland companies are not familiar with the policies of the Hong Kong Securities Regulatory Commission,There are many cases where people run into obstacles because of jumping into the process.,So I went round and round and found an agent.。

Agent in Hong Kong

  1. 9License with many years of experience,A professional team based in Hong Kong is responsible for handling、follow up,Maintain long-term communication with the approval department,Ability to accurately grasp policy trends in Hong Kong。If time is taken into consideration,Applicants can also choose acquisition channels to develop their business.。Hongkong
  2. 9Please call us for securities dealer license application

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

Article directory

connect:Hong Kong Information Communications Consultant

Picture of Lin Zixuan

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

Financial card care question

Is registering an offshore company in Hong Kong good for foreign trade??

Is registering an offshore company in Hong Kong good for foreign trade??Nowadays, more and more friends who are engaged in foreign trade find that,All my friends have registered overseas companies.:Register a Hong Kong company、Register a UK company、Pacific Islands Company, etc.。
Financial card care question

What are the benefits of registering a Hong Kong company in Shenzhen?

What are the benefits of registering a Hong Kong company in Shenzhen? Hong Kong is an international metropolis with extremely developed information.,It is the freest trade port in the world.,Coupled with its good infrastructure and sound legal system,
Financial card care question

Nearly 100,000 people are aware of the VAT rules in the UK

Nearly 100,000 people are aware of the VAT rules in the UK March 15 this year,UK Finance Bill comes into force。 Which group of people in China will be most affected by the bill?,It must be a company or individual engaged in foreign trade e-commerce business!
Financial card care question

Transfer Japanese company Japanese enterprise

Relevant personnel in Japan for handling the subject matter will provide the accepted regional national label 003 materials and prepare the agent. Things produced in Japan are of good quality.,This is almost a stereotype for people all over the world。Many companies take advantage of this influence,Register a Japanese company,
Customer service avatar
Customer service avatar
Gold License-Compliance Consultant 8:00 AM – 11:00 PM
WeChat QR code
13417046218
Scan the QR code to add WeChat
Hong Kong and Chinese team · Senior financial compliance experts