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 compliance qualifications for expanding cross-border capital business。If an enterprise plans to carry out relevant financial business in Hong Kong，should be based on the actual business model、Equity structure、Staffing and Capital Strength，Plan your license application or acquisition path in advance。
Hong Kong No. 1、4Number、9Business scope of license
Enterprise handlingHong 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。Since the business models of many financial institutions also involve transactions、Investment advisory and asset management，Therefore No. 1、4Number、9Number plates can be applied for in combination if the conditions are met.。
Hong Kong License No. 149Get path
enterprise acquisitionHong Kong Securities and Futures Commission licenseThere are usually two ways，Need to be combined with time cost、budget arrangement、Make selections based on business implementation pace and group structure needs：
- Register a company in Hong Kong，Prepare relevant conditions and materials according to application requirements，and submit the application in accordance with the Hong Kong Securities and Futures Commission license application process。
- Direct acquisition of existing licensed Hong Kong companies，To quickly undertake license resources and carry out subsequent business deployment。
Acquiring ready-made licensed resources is relatively less time-consuming and labor-intensive，But the overall cost is usually higher。Some customers hope that the Hong Kong branch and the mainland company should maintain unification in terms of shareholding or management structure.，Therefore, we will choose to apply for a new license，to establish a clearer compliance structure from the outset。
Hong Kong No. 149 license application process and conditions review
Hong Kong No. 1、4Number、9The application threshold for licenses is not low.，The Securities and Futures Commission of Hong Kong will consider the capital strength of enterprises、financial capacity、Solvency、Actual operational arrangements、Comprehensive review of management background and licensed staffing, etc.。Before the company formally applies，Business scope definition should be completed、Company structure design、Personnel arrangement、Office space implementation and application document preparation。
Capital and personnel requirements for Hong Kong license No. 9
Take Hong Kong License No. 9 as an example，capital requirements，Paid-in capital shall not be less than HKD 5 million；Operational requirements，Companies need to have a physical office address in Hong Kong；Personnel requirements，Two No. 9 license holders are required，And relevant personnel have academic qualifications、Work experience、Work experience and other aspects must meet specific requirements。
also，Major shareholders must have strong economic strength，and maintain a good compliance record，There must be no bad records。The financial capability and solvency of the company also need to pass the review of the Hong Kong Securities Regulatory Commission。
Market background and professional advice on Hong Kong financial license application
With the opening of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect，Mainland investors’ willingness to enter Hong Kong’s financial market has further increased。Hong Kong serves as an important bridge connecting mainland capital to the international market，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。Whether it is a new application for Hong Kong No. 1、4Number、9license plate，Or buy a ready-made licensed company?，A compliance feasibility assessment should be completed prior to launch，Avoid insufficient conditions、Incomplete materials or improper structural design affect the review progress。
If you need to apply or purchase ready-made Hong Kong No. 1、4Number、9license plate，It is recommended to communicate with professional consultants as early as possible，Clarify the application path、Review focus、Time schedule and budget plan。
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。
