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Conditions for applying for Hong Kong No. 149 plate,How much does it cost to apply for a 149 license?

Financial card care question

Conditions for applying for Hong Kong No. 149 plate,Handle 149 licenses

cost

How much does it cost? Due to the stability of overseas assets,in recent years,Domestic financial institutions have turned their attention to the Hong Kong market。Hong Kong's financial licenses generally refer to license numbers 1-10 issued by the Securities and Futures Commission,And among these ten number plates,The ones that are attracting attention are the 1.4.9 categories.。License No. 1 is a Hong Kong securities trading license,Acquired financial institutions can help customers open overseas accounts。

4The license plate is a securities consulting license,Obtained financial institutions can provide clients with advice on asset allocation。9The license is an asset management license,The acquired financial institution is able to issue funds directly,Help customers manage assets。So the 149 numbers complement each other.,Basically it will be bundled。

  1. Must be a limited company incorporated in Hong Kong or a non-Hong Kong company registered with the Registrar。
  2. The company has an actual office address in Hong Kong (must be written as Class A)。
  3. Have an experienced management team to assist in running the company,business framework、Internal control system and qualified responsible personnel RO。
  4. Must have two licensees,Nationality of licensed individuals and responsible persons,There are no restrictions or special regulations from the Securities Regulatory Commission。

Require

One less responsible officer must be based in Hong Kong,in order to directly supervise the relevant business。

  1. One less responsible person in the company must be a member of the board of directors。
  2. Registered capital of Hong Kong company

Require

500 10,000 Hong Kong dollars;Must always maintain paid-in share capital and liquid capital of not less than 300 10,000 Hong Kong dollars。Must open an account in a bank in Hong Kong。The conditions for applying for Hong Kong No. 149 plate are complicated,Handle 149 licenses

cost

How much money is needed actually depends on the specific circumstances of the application.。

But one thing is,Unlike other licenses,The direct transfer and acquisition of Hong Kong number plates is quite troublesome.,Because it involves relevant licensed personnel and responsible persons,Need to merge together,So if the conditions are met,It would be easier to do it directly。Related products:Conditions for applying for Hong Kong No. 149 plate , Handle 149 licenses

cost

How much money is needed


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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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