Engage in financial related business in Hong Kong，Only by holding the corresponding license can you gain greater operating space and business scope.。Hong Kong financial licenses are divided into 10 categories based on regulatory categories，Corresponding to different business types，Category 1 of which、Category 4 andClass 9 licensecombination (that is, what the market often calls "149license”) received the most attention。Affected by environmental changes in recent years，Many trading companies pay more attention to Hong Kong financial compliance in overseas business，Special focus 1、4、9Application and use of number plates。
Obtaining a 149 license requires passing a series of strict qualification reviews，Companies that can successfully obtain approval，Usually means it has compliant and reliable operational capabilities。Against the background of RMB exchange rate fluctuations and strict financial supervision in the Mainland,，Many domestic financial companies are turning their attention to Hong Kong，Hope to enter the international market，Attract more sophisticated overseas investors。also，Global investment through Hong Kong，on interest、The threshold in terms of financing interest rates and other aspects is relatively low，Funds can also be freely allocated to global markets，Not subject to capital controls，This makes the application of Hong Kong No. 149 license continue to become a hot topic in the financial industry。
Class 1 license：Securities trading license
License purpose
Type 1 license is used to provide securities trading services to customers，For example, providing trading of stocks and options、Buy and sell bonds, buy or sell mutual funds, etc.，It is the category with the largest number of individuals and units among the 9 types of licenses.。
Application requirements
When applying for a Category 1 license，Need to operate funds based on whether assets are held on behalf of clients。Generally speaking，There is a difference in application difficulty between licenses that hold client assets and licenses that do not hold client assets.，Licensing conditions also have different requirements。
Class 4 license：Securities advisory license
License purpose
Type 4 license is a consulting license，Licensed entities can provide investors with appropriate investment advice。Since securities consulting is often aimed at promoting securities transactions,，Most Hong Kong license No. 4 will be applied for together with license No. 1。
Application requirements
Registration is required to apply for a Type 4 licenseHong Kong company，And configure the corresponding company structure according to the business scale；At least 2 people are requiredResponsible person（RO），Such responsible persons may communicate with No. 1、9License holders of licenses overlap。
Class 9 license：Asset management license
License purpose
Type 9 license can help overseas customers manage assets，It is a type of Hong Kong financial license that is particularly favored by large mainland private equity institutions.。at present，The innocent heart of the mainland、Shengshi Investment、Institutions such as Tianma Asset have entered the Hong Kong market through application or acquisition.。
Application requirements
To apply for a Type 9 license, you need to have a company or overseas corporation in Hong Kong，and have certain financial capabilities to repay debts。Applicants must deploy personnel who have passed the assessment of the Hong Kong Securities Regulatory Commission.，At least 2 persons in charge，At the same time, it must meet the requirements of more than HK$5 millionPaid-up share capitaland liquid capital requirements of more than HK$3 million。
149Application advantages of license combination
Many investors seeking to apply for Hong Kong 149 licenses are looking for companies that already have a responsible officer (RO)。actually，If a company simultaneously holds 1、4、9license plate，Only 3 ROs are needed，Some job roles can be shared。Enterprises interested in applying for 149 license，In addition to the above requirements，You should also fully understand and prepare for other related financial license issues as early as possible before starting business.。
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。
