Interpretation of the classification of Hong Kong financial licenses：1-10Application guide for popular licenses

Hong Kong’s financial license classification，热门金融牌照为1、2、4、6、9Number，The Securities and Futures Commission of Hong Kong has different requirements for different types of license applications.，The difficulty of applying for a license is also different.。

1、核心申请要求

Hong Kong Securities and Futures Commission规定，申请牌照需要2位香港持牌责任人（RO），而持牌责任人需要有3至5年连续公开的资本市场业绩记录以及要经过一系列严格的考试和资格审查等。

（港信通提示：2026年开始，香港证监会加强投行IPO员工审查　加剧券商缺人手问题），RO短缺成为目前申请香港金融牌照的一大难点，according toGXT-HK的调研：RO月薪普遍上升到5到6万港币。

at the same time，企业也要求在香港有实际的办公地址，haveExperienced management team去协助运营公司。generally，Obtain an independent Hong Kong financial license，It is an endorsement of a company’s strength。

香港金融牌照类别概览

• 第1号∶ 证券交易
• 第2号∶ 期货合约交易
• 第3号∶ 杠杆式外汇交易
• 第4号∶ 就证券提供意见
• 第5号∶ 就期货合约提供意见
• 第6号∶ 就机构融资提供意见
• 第7号∶ 提供自动化交易服务
• 第8号∶ 提供证券保证金融资
• 第9号∶ 提供资产管理 (Amended by L.N. 28 of 2011)
• 第10号∶ 提供信贷评级服务 (Supplemented by L.N. 28 of 2011)

2、热门牌照深度解析：4号与9号牌照

The Hong Kong market implements a financial license management system，Financial institutions can conduct stock trading at the same time、financial derivatives、Trading in foreign exchange and gold。

• 9No. Asset Management License：是最热门的牌照，属于香港证监会发布执行的《证券及期货条例》第9类受规管业务资格牌照。Hold this license，意味着在国际资本市场上获得了“pass”，Not only can you directly participate in overseas investments,，It can also manage and utilize funds from overseas investors。
• 4号证券咨询牌照：是香港证监会批准机构提供证券投资咨询服务的牌照。

对于国内的证券期货、asset Management、international trust、私募基金公司而言，获发这几张金融牌照，一方面可以全面参与国际资本市场投资，Expand the scope of investment targets，Enrich investors’ product choices；On the other hand, you can seize investment opportunities in overseas markets.，Improve the company's asset management capabilities and market competitiveness，Entering the ranks of international asset management companies。

3、获牌后的业务优势

After receiving the financial license from the Securities and Futures Commission of Hong Kong，Companies will be eligible to offer shares to domestic and foreign institutions、fund、Various financial products and services such as bonds。Leverage the Hong Kong capital market platform，Not only can we develop more products such as overseas real estate or stock funds,，We can also launch value-added services such as investment immigration and investment consulting.，Provide more diversified services to high net worth clients。

4、9号牌照申请条件与合规门槛

香港金融牌照分类从1到10号，The difficulty of applying for various types of licenses is also different.。like香港9号资产管理牌照申请条件，Hong Kong Securities and Futures Commission regulations：

1. 持牌责任人：Requires 2 Hong Kong licensed responsible persons，且需要有3—5年连续公开的资本市场业绩记录及通过严格考试。
2. office space：企业要求在香港有实际的办公地址。
3. Management team：需有经验丰富的管理团队协助运营。
4. 高管任命：申请公司至少要有两名高管负责公司管理，and appoint one of them as executive director。
5. 适当人选原则：Applicant company and its executives、Employees and shareholders must comply with the fit and proper principles stipulated by the Securities and Futures Commission of Hong Kong。

5、证监会评估维度：

The Hong Kong Securities Regulatory Commission will assess the applicant’s solvency and financial status、Educational and other qualifications、Relevant experience in the proposed business、Ability to conduct regulated business activities with integrity and fairness、Assess the company's reputation and financial soundness。

6、监管持续性要求

• capital：持牌公司必须一直保持实缴股本和流动性资本不少于最低资本要求。
• 资金托管：Licensees holding client funds must open an account with a bank in Hong Kong，且客户资金必须隔离存放。
• 财务记录：所有持牌人必须保留财务清偿能力、合规和内控制度的相关记录。
• 定期申报：必须按照国际认可的会计标准合理保留财务记录，Submit monthly report、Quarterly and annual reports。
• Information disclosure：All companies must disclose financial reports to the public。

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及全球合规运营等服务，Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more，Please contactHong Kong Information Communications Consultant。

Reference article：

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