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Hong Kong No. 149 licensed securities firm

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Hong Kong Information Communications Peng Yi Aaron said that Hong Kong is an important international financial center,It is also the bridgehead for many mainland financial institutions to go abroad.。Spending different financial services in Hong Kong,Need to apply for different types of licenses from the Securities and Futures Commission。

The following is a summary of Hong Kong’s nine major licenses::Hong Kong Nine License Plate No. 1:Securities Trading 1 provides customers with the trading of stocks and stock options、Brokerage services 2 buy and sell bonds for clients 3 buy for clients、Sell ​​Mutual Funds and Unit Trust Funds Placing and Underwriting Securities No. 2:Futures contract trading 1. Provide customers with the buying and selling of index or commodity futures 2. Provide customers with index or commodity futures brokerage services 3. Buy or sell futures contracts for customers 3.:Leveraged foreign exchange trading uses margin trading to conduct foreign exchange transactions for customers No. 4:Providing advice on securities 1. Providing investment advice to clients on selling or buying securities 2. Issue research reports or analyzes on securities No. 5:Provide advice on futures contracts. When applying for a No. 149 license, we need to understand our business needs at all.,Whether it complies with the scope of the license,Many licenses need to be used in combination with other licenses to have a larger scope of business development.,The business scope of a single license is very limited。

Therefore, when applying for Hong Kong No. 149 license, you can consult Hong Kong Xintong International for processing.。Related products:Hong Kong No. 149 licensed securities firm


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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