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Application conditions for Hong Kong No. 9 financial plate agency,How to apply for Hong Kong No. 1 financial license

Financial card care question

If it involves financial business in Hong Kong, then it is better for the company to hold a corresponding license to have greater operating space and scope.。

With the impact of various environmental conditions this year,一些贸易企业在经营过程中多多少少都有遇到过一些影响而海外的业务特别所有涉及到香港金融的业务就需要特别的注意到一些关于其金融的一些申请和使用相关的问题了:Hong Kong 1、4、9号牌照 介绍香港金融牌被分成 了10大类分别对应了不 同的业务类型

Hong Kong 1、4、9The license is actually Category 1 under the Securities and Futures Commission of Hong Kong.、Combination of Class 4 and Class 9 licenses。

Obtaining a 149 license requires a series of strict qualification reviews.,通常获得香港149金融的企业也反映出了该金融机构是一家合规且有实力的机构在国内人民币贬值、Domestic financial transactions are strictly regulated,Many domestic financial companies have turned to Hong Kong to enter financial transactions.,It can not only open up the international market but also attract more rational investors from abroad.。

What's more important is investing globally in Hong Kong,Interest、Financing interest rates are lower than domestic thresholds。Funds can be freely allocated to global markets without capital controls。Therefore, the application of Hong Kong No. 149 license plate is a hot trend in the financial industry.。

我们先来了什么是香港149号牌照对持牌人有什么

Require

:Class license:Purpose of securities trading license:It is used to provide various services for securities trading to customers.,Such as providing stock and option trading services;Ability to buy and sell bonds for clients、Functions such as buying and selling mutual funds,It is the one with the largest number of individuals and entities among the 9 types of licenses.。

Apply

Require

:It depends on whether you hold client assets to operate funds,Generally, the difficulty of applying for a license to hold assets is different from that of a license not to hold assets.。Class IV license:Securities advisory license purpose:It’s a consulting license,Units holding such licenses,Can give investors some appropriate investment advice,Generally to facilitate securities transactions,Hong Kong No. 4 license will be applied for together with Hong Kong No. 1 license。

Apply

Require

:Register a Hong Kong company,Configure a corporate structure appropriate to the company's business scale,2RO above the name,Can be used with 1、9License holders of licenses overlap。Category 9 license:Purpose of asset management license:Able to help overseas customers manage assets,是内地大型私募机构追捧的一类香港金融牌。The innocent heart of the mainland、Shengshi Investment、Tianma Assets has entered the Hong Kong market through application or acquisition.。

Apply

Require

:Have a company in Hong Kong or be an overseas corporation;Have certain financial capacity to repay debts、Persons who have passed the assessment of the Securities and Futures Commission of Hong Kong、2person in charge,500Paid-up share capital of more than HK$10,000、300Liquid capital of more than 10,000。

Among the many investors who inquire about the Hong Kong No. 149 license agency,Many are looking for companies with RO,But actually,If the company also holds a 149 license,Only 3 ROs are needed,Can be shared across individual posts。除了这些介绍之外还有其他金融牌的问题可以尽早的现在业务开设之前进行充分的了解和准备Hong 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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Picture of Zhou Haoming

Zhou Haoming

Zhou Haoming has experience in the fields of asset management and securities regulatory compliance in Hong Kong. 8 years of experience,Served in key business and compliance positions in a licensed asset management company。He is familiar with the Hong Kong Securities and Futures Commission (SFC) regarding 9 Application conditions for asset management license、Risk control framework requirements、internal compliance system、Compliance rules such as portfolio management control and officer qualification requirements。Zhou Haoming is good at formulating internal compliance manuals and ongoing operational compliance processes that comply with the Securities and Futures Ordinance.。

Areas of expertise:SFC 9 Application for number license、risk control framework、Officer qualification requirements、Securities and Futures Ordinance、Internal Compliance Manual。

Previous institutions:Hong Kong licensed asset management company & SFC Compliance Team

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