Before Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect were opened,，Many people have only a cursory understanding of Hong Kong’s securities licenses.，No big moves。these few years，Securities trading in Hong Kong and Mainland China has become significantly more active，People are concerned about what is Hong Kong No. 149 license and how to apply for Hong Kong No. 149 license，The phenomenon of using the Hong Kong platform to deploy in the international market has become common.。
So today we will focus on what is Hong Kong No. 149 license and how to apply for Hong Kong No. 149 license.。
Hong Kong License No. 1：Generally, it is a securities dealer license applied for by a securities trading company.，Mainly able to provide customers with services such as buying and selling stocks or stock options.；Hong Kong license No. 4：Generally, it complements the Hong Kong No. 1 plate photo，Securities advisory license，Mainly able to provide clients with insightful securities investment advice；Hong Kong license number 9：It is a popular license sought after by major private equity management funds in the mainland in recent years.，The main function is to manage assets for customers。
Mainland private equity management funds mainly aim to absorb international funds.，Hong Kong No. 9 Plate is one of the mainstream ways for large-scale domestic private equity to go overseas.。After having a general understanding of what Hong Kong License No. 149 is,，The application for Hong Kong No. 149 license is also a topic that most people are concerned about.，Since the Hong Kong Securities Regulatory Commission has different levels of flexibility in licensing approval,，The difficulty of applying for Hong Kong No. 149 license is also different.。
The same thing is，Hong Kong 149 license application requires more than 2 licensed persons in charge，Licensed corporations applying for each type of license
Require
Establishing a Hong Kong or non-Hong Kong company in Hong Kong。The prerequisite for applying for Hong Kong No. 149 license is that the company's business structure and internal supervision system must be perfect.，And have good financial status and solvency，The minimum paid-up share capital and working capital are not less than the basic standards of HKD 5 million and HKD 3 million respectively.。
The responsible person needs to participate in relevant tests specified by the Hong Kong Securities and Futures Commission，To ensure that they have securities professional qualities。In the later stage of Hong Kong No. 149 license application, you need to cooperate with the relevant review work of the Hong Kong Securities Regulatory Commission.，After obtaining Hong Kong 149 license，The company's operational activities must strictly comply with the relevant provisions of the Securities and Futures Ordinance promulgated by the China Securities Regulatory Commission.。Companies must regularly submit audited accounts and financial audit statements to the China Securities Regulatory Commission。
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