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Hong Kong No. 149 plate transfer process_Analysis of case guidance

Financial card care question

For customers who already have a Hong Kong company background,It is more economical to apply for Hong Kong No. 149 license than to acquire it directly.

cost

。But if mainland companies want to obtain Hong Kong license plate 149,,Choosing transfer and acquisition is a good choice。

Analysis on the transfer case of Hong Kong No. 149 plate by Manager Peng Yi’s client,There are mainly the following points that need to be paid attention to and understood clearly:: 1,Although the name is all plate number 149,But actually,Hong Kong No. 19 cards are divided into big and small.。Big 1 is a brokerage firm,But Xiao 1 is the introducer。Big 9 can hold clients’ assets,But Xiao 9 cannot hold customer assets。

When making an acquisition,Must understand clearly,Never buy a small-brand Hong Kong company at a big-brand price。 2,When making an acquisition,Documents proving the source of funds for shareholders need to be re-provided,Including the previous year’s turnover,Statements for various types of financial products。It is necessary to prove that the shareholder’s assets are not less than HKD 5 million.。

3,Materials for personnel changes and company changes need to be submitted to the Hong Kong Securities and Futures Commission,That is SFC,Review by the China Securities Regulatory Commission regarding acquisitions and shareholder background。 4,As of the end of December 2017,There are 1,247 companies holding No. 1 license in Hong Kong,There are 1,291 companies holding license No. 4,There are 1,477 companies holding Hong Kong license No. 9。Among them, some have relatively heavy assets.,The transfer price will also be correspondingly higher.。

There are also licenses that were just obtained last year,Haven’t started any business yet。The type of acquisition depends on the specifics of the acquirer.

Require

Got it。 Hong Kong License No. 149 is the three most widely issued financial license among the regulated financial types in Hong Kong.。Hong Kong No. 149 plate

transfer process

In fact, it is the change process of Hong Kong companies,Just because plate No. 149 involves Hong Kong SFC’s review of materials,Therefore, compared with the general type of Hong Kong company transfer, there will be more steps.。

The following mainly introduces 1、4、9number plate

transfer process

。 The following mainly introduces the specific procedures for the transfer of Hong Kong No. 149 plates.: 1,Change of shareholders:Whether it contains No. 149 plate,Or other types of Hong Kong companies,Want to transfer and acquire,Share changes are required。Both parties to the transfer need to sign a transfer agreement。 2,name change:There is no need to provide change application materials to the China Securities Regulatory Commission for name changes.,Just do it directly at the Hong Kong Registration Office。

General Hong Kong No. 149 plate

transfer process

It takes about two weeks for a name change to be made。 3,Change of responsible person:Changes of responsible persons need to be made at the Securities and Futures Commission of Hong Kong,What needs to be understood clearly here is that,If the company contains 149 three licenses,And if only two people are hired,,Then the person in charge needs to hold three types of personal licenses No. 149。

4,Change registered address:Whether it is applying for Hong Kong No. 149 license plate or directly acquiring Hong Kong No. 149 license plate,The registered address must be in Hong Kong,The operating address can be different from the registered address。If you need to change your registered address,The Hong Kong Registration Office is required to submit change application materials。

Things to note

: 1,The person in charge of RO needs to have at least five years of experience,When changing the person in charge,Industry qualifications and relevant information about a recent job are required。 2,Hong Kong 149 transfer resources are relatively large,The situation is also mixed,It is necessary to carefully screen the specific situation of the company,Conduct background checks and financial analysis of the company, etc.。

For customers without acquisition targets,Manager Peng Yi has ready-made Hong Kong No. 149 plates available for transfer.,Covers a variety of popular genre combinations,Includes 14 combinations,49combination,149Combinations etc.。

Customers who choose to acquire Hong Kong regulated financial licenses No. 1-10 with Peng Yi Manager can enjoy the service of Peng Yi Manager change,We can interface with the Hong Kong Securities and Futures Commission on behalf of our clients,Since Manager Peng Yi has been providing Hong Kong financial license services for ten years,Therefore, the price will be relatively low。At the same time, for customers who do not have suitable responsible persons and licensees,We have corresponding affiliated resources。

All have one purpose,It is to enable customers to conduct international financial business faster,Allow customers and investors’ funds to obtain corresponding returns in the capital market。 Manager Peng Yi,It is an excellent domestic Hong Kong financial license processing and transfer service provider.,Hong Kong’s No. 149 plate transfer resources are rich,If you need to know more details, you can call us directly to communicate and understand clearly.。


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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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Picture of Lin Zixuan

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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