Hong Kong No. 1、4Number、9licenses corresponding to securities transactions、Regulated activities such as advising on securities and asset management，It is for enterprises to enter the Hong Kong financial market、Important qualifications for conducting compliant financial business。For plans to deploy securities in Hong Kong、For institutions that engage in investment advisory and asset management business，1、4、9No. licenses can be applied for in combination if the conditions are met.，to match a more complete business scope。
Hong Kong 1、4、9license platebusiness scope
Business acquisitionHong Kong License No. 1back，Can carry out securities trading activities；obtainHong Kong license No. 4back，Can provide investment advice to clients；obtainHong Kong license number 9back，can provide asset management services。Different licenses correspond to different regulated activities，Enterprises should combine their own business models、Customer type、Business processes and staffing，Confirm the type of license you need to apply for。
Hong Kong License No. 149Get path
Business gets Hong Kong 1、4、9license plate，There are usually two types of paths to choose from：
- Register a company in Hong Kong，Prepare application conditions and materials in accordance with regulatory requirements，and submit an application to the Securities and Futures Commission of Hong Kong in accordance with the formal procedures.。
- Directly purchase existing companies holding Hong Kong licenses，Obtain license resources through acquisition。
Compared to new applications，Acquiring an existing licensed business is often less time-consuming and labor-intensive，But the price is relatively high。Some customers hope that the Hong Kong branch will have the same shareholding structure as the mainland company.、Maintain unity in management structure or overall group layout，Usually there is a tendency to choose a new application method。
Hong Kong No. 149 license application process and review key points
Hong Kong No. 1、4Number、9The application threshold for licenses is not low.，Regulators will look at the corporate structure、financial capacity、Solvency、Shareholder background、Personnel qualifications、Comprehensive review of office space and business compliance arrangements, etc.。Before the company applies，You should fully assess whether you have the ability to continue operating、Compliance operation capabilities and resource allocation commensurate with business scale。
The financial capability and solvency of the company need to be assessed by the Hong Kong Securities Regulatory Commission，Completeness of application documents、Reasonableness of business plan、Qualifications of responsible personnel and clarity of shareholder backgrounds，It will affect the overall review progress and application results.。
Core application requirements for Hong Kong Type 9 license
Take Hong Kong License No. 9 as an example，Apply for business in capital、office space、Clear requirements must be met in terms of staffing, shareholder background, etc.：
- capital requirements，Paid-in capital shall not be less than HKD 5 million。
- The company needs to have a physical office address in Hong Kong。
- In terms of personnel, two No. 9 license holders are required.。
- Relevant personnel have academic qualifications、Work experience and work experience must meet specific requirements。
- Major shareholders should have strong economic strength，and no bad record。
Market value and application suggestions for Hong Kong financial licenses
Launch of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect，Further enhance the willingness of mainland investors to enter Hong Kong’s financial market。Hong Kong serves as an important bridge connecting mainland capital and international markets，Continue to attract many investors and financial institutions to deploy。
If an enterprise plans to carry out different types of financial business activities in Hong Kong，Must obtain corresponding financial license。We recommend that before initiating an application or acquisition，Check the business scope first、License type、Equity structure、Systematic assessment of personnel qualifications and capital arrangements，Avoid insufficient early planning from affecting application efficiency or subsequent compliance operations。
If you need to apply or purchase ready-made Hong Kong No. 1、4Number、9license plate，You can contact Hong Kong Xintong for professional consultation。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
