Hong Kong as an international financial center，The securities market remains highly active for a long time。With the Shanghai-Hong Kong Stock Connect、Shenzhen-Hong Kong Stock Connect and other interconnection mechanisms between Guangdong and Hong Kong continue to deepen，Mainland investors’ global asset allocation paths are becoming more diversified，More and more institutions hope to rely on the Hong Kong platform to directly connect with the international capital market。In this context，Hongkong1Number、4Number、9license platecompliance management，Become a securities trader、Important prerequisites for securities consulting and asset management businesses。
香港149号牌照办理的核心监管要求
Interpretation of the classification of Hong Kong financial licenses：1-10Application guide for popular licensesThere are obvious differences between the regulatory system and the mainland。Regulated financial activities in Hong Kong are divided into 12 categories，When the organization engages in corresponding regulated activities，Usually you need to configure 2 peopleHong Kong No. 9 License Application：main body、Funding and personnel review points。Hong Kong License No. 149：Usage analysis、Application requirements and RO configurationRequires a higher academic background、Business qualifications and professional experience，therefore，How to find and match the right licensee，是香港149号牌照办理过程中较为关键、It’s also a more challenging part。
香港149号牌照申请需满足的基本条件
Except for licensee configuration，香港149号牌照办理还需要满足Hong Kong Securities and Futures Commissionreview threshold。Applicants usually need to meet the following conditions：
- Having a company in Hong Kong，or for an overseas corporation registered with the Hong Kong Registry；
- 具备符合香港证监会规定的业务架构及内部监控系统；
- Have the appropriate financial capabilities，And be able to continue to maintain paid-up share capital and liquidity that are no less than the prescribed standards.。
When the Hong Kong Securities and Futures Commission examines the Hong Kong No. 149 license application，We will focus on implementing the above elements。For mainland applicants，On the one hand, you need to be familiar with Hong Kong’s financial regulatory policies，On the other hand, it is also necessary to strictly match the rigid conditions of the license holder.。
Qualification thresholds and difficulties in finding licensees
Hong Kong No. 149 license application requires higher qualifications of the license holder。Licensees usually need to graduate from accounting、Business Administration、economy、Finance or law or other related degree background，And must be qualified in 2 subjects；at the same time，2 years of management experience and 5 years of related experience are also required。The above requirements directly improve the screening of licensees、Difficulty of assessment and docking。
Hong Kong No. 1、4Number、9Number plate market licensing situation
香港金融牌照的持有对象可以是个人，It can also be a unit。As of December last year，Hold Hong Kong No. 1、4Number、9The number of companies with licenses is 1247.、1291Home and 1477 Home。Compared with single license application，Apply for Hong Kong No. 1 at the same time、4Number、9The number of institutions with licenses is relatively small。
Hong Kong No. 149 license holder allocation arrangement
After finding a suitable licensee，The licensee may be responsible for the conduct of regulated activities。Normally，2One of the licensees must be an executive director，another responsible officer。When an enterprise applies for Hong Kong license No. 149 at the same time，It is not necessarily necessary to configure 6 licensed persons in charge；Since some positions can overlap，1Number、4Number、9Type 3 license can usually have 3 licensees responsible for daily business operations。
Hong Kong No. 149 license application and current license change services
Hong Kong Xintong has long-term focus on Hong Kong financial license processing，Deeply cultivate business dealings and compliance practices in Hong Kong，Have rich experience in resource docking with licensees。In order to meet the needs of investors to quickly launch business，We can assist customers in promoting Hong Kong No. 149 license application，And can provide professional support on the current resources and subsequent changes of Hong Kong financial licenses No. 1-9。About Hong Kong No. 149 license application、Licensee matching and license change details，Welcome further communication。
About Hong Kong Xintong
GXT-HKComposed of professional teams from mainland China and Hong Kong，Focus on providing global company registration、Financial license application、Bank account opening、One-stop cross-border services such as tax financial planning and compliance consulting，Core covers Hong Kong MSO license、Hong Kong Insurance Brokers and Hong Kong Money Lenders Licenses、US MSB license、Hong Kong 149 license、9license plate，Helping enterprises to go overseas efficiently and compliantly，Steady global layout。
