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Hong Kong No. 149 license application:Qualification requirements、Cost differences and practical advantages

Financial card care question

After the launch of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect,Mainland investors can participate in Hong Kong stock trading through mainland securities companies,The activity of Hong Kong’s securities market continues to increase。As the scale of wealth on the mainland continues to accumulate,,The demand for asset allocation gradually extends to more mature international financial markets such as Hong Kong.,Hong Kong No. 149 license applicationTherefore, it maintains a high level of attention in both Hong Kong and the Mainland.。

Hong Kong was earlier integrated into the capitalist market,As an international financial center,Its financial regulatory system is relatively mature、Perfect rules system。More and more mainland investment institutions choose to passHong Kong License No. 149handle,Carry out compliant financial business。For example,Zhonghe Credit Suisse, a subsidiary of Golden Sunflower Capital, has passed Hong Kong 149number plateFollow the instructions,Meet the needs of investors to allocate assets to overseas markets。

The capital market environment has a key impact on the long-term development of enterprises。Hong Kong is an important window for mainland enterprises to connect with global capital,its internationalization、standardized market system,It exactly meets the needs of mainland enterprises to enter the international market.。Hong Kong License No. 149 is a highly concerned combination among regulated business licenses.,During the application process, the applicant、Staffing、There are higher requirements for compliance structure and sustainable operation capabilities.。

Core requirements for Hong Kong No. 149 license application

Hong Kong license No. 149 usually involves No. 1 of the regulated activities of the Hong Kong Securities and Futures Commission、4No. and No. 9 license plates,Covers securities transactions、Providing advice on securities and asset management and other business directions。Before an enterprise applies for or acquires relevant licenses,Need to clarify your own business model、Customer type、Fund management arrangements and actual operational needs,And match the corresponding licensed personnel and compliance systems。

Hong Kong Xintong's long-term docking service window in Hong Kong,Can match enterprises with corresponding licensed talents,and assist in sorting out application paths、Document preparation、Compliance structure establishment and regulatory communication process。When conditions are met,We can assist customers to complete the entire process at a price that is 20% lower than the market price,Improve application efficiency and control overall costs。

1number plateThe difference between the big and small cards and the number 9 card

In the process of applying for Hong Kong license No. 149,1There is also a difference between the number plate and the number 9 plate in terms of "big number" and "small number".。When companies are planning their license structure,You need to make accurate judgments based on your own business boundaries.,Avoid rising costs due to under-scope or over-provisioning of applications。

  • The main difference between the big 1 number plate and the small 1 number plate,It depends on whether it has the ability to provide investors with account opening、Securities trading and other business qualifications。
  • The main difference between the big 9 number card and the small 9 number card,The difference lies in the business scope corresponding to public offerings and private placements.。

Different license authorities correspond to different regulatory requirements.、Staffing and operating costs。If an enterprise plans to develop a more complete securities and asset management business,Business scope assessment should be completed at an early stage,Ensure follow-up application、The change or acquisition plan is consistent with the actual business plan。

Hong Kong No. 149 license fee differences and market ranges

Some large-scale institutions,Usually consider acquiring or handling the complete Hong Kong No. 149 license package。However, due to different license qualifications、Business scope、There are differences in historical operating conditions and licensed resources,There may be a large disparity in the cost range,Market prices range from millions to tens of millions。

Hong Kong Xintong has been involved in the Hong Kong financial license application for ten years,Continuously track market transactions and changes in regulatory practices,Ability to assist customers in determining the true value of license resources、Potential risks and room for change。In license acquisition、During the change and application process,We can help customers grasp the market's lowest price,Reduce unnecessary transaction costs。

The professional advantages of Hong Kong Xintong in handling Hong Kong No. 149 license

Hong Kong Xintong is the largest professional organization in Guangdong Province to apply for Hong Kong No. 149 plates.,Ten years of focus on Hong Kong financial license application,Develop long-term business dealings in Hong Kong,And has a large number of professional licensee resources for docking。

In order to meet the needs of investors to quickly launch business,Hong Kong Xintong can currently connect to the existing resources of Hong Kong financial licenses No. 1-9。After the customer completes the corresponding changes,Promote business implementation according to compliance requirements。About Hong Kong No. 149 license application、acquisition、Changes and licensed staffing,Welcome to further communicate with Hong Kong Information Communications Consultants。


About Hong Kong Xintong

Hong Kong Xintong focuses onHong 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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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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Hong Kong and Chinese team · Senior financial compliance experts