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Hong Kong license number 1/4/9 transfer:Type usage、Analysis of requirements and advantages

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last year,Zhonghe Credit Suisse, a subsidiary of Golden Sunflower Capital, received approval from the Securities and Futures Commission of Hong Kong (SFC)Hong Kong No. 1、4Number、9license plate,And take advantage of the different business functions of the three types of licenses,Build a bridge of investment services for customers in China and Hong Kong,Meet investors’ needs for cross-border asset allocation。As mainland institutions accelerate their deployment in Hong Kong’s securities and asset management market,Except for direct application,by transfer、Obtain Hong Kong No. 1 by acquisition、4Number、9The number of license plate cases also continues to increase,Becoming one of the important ways for enterprises to enter the Hong Kong financial market。

Hong Kong No. 1、4Number、9Number plate types and business purposes

Hong Kong Securities and Futures Commission licenseBy type of regulated activity,Different licenses correspond to different business permissions。business in progressLicense transferor before acquisition,It must be clearly judged whether the target license matches its own business model、Customer structure and future market planning。

Hong Kong License No. 1:Securities trading

Hong Kong License No. 1The core function is securities trading。Licensed individuals or companies can carry out activities such as stock buying and selling and other securities-related asset transactions.,Is a securities broker、A very critical license type in transaction matching and related business layout。

Hong Kong license No. 4:Advise on securities

Hong Kong license No. 4An important license belonging to the perfect service sector of securities companies,Primarily used to provide advice on securities。This type of license requires higher professional capabilities for licensed individuals and licensed institutions.,Usually requires more systematic securities knowledge and compliance service capabilities,To provide investors with securities investment-related advice。

Hong Kong license number 9:asset Management

Hong Kong license number 9Active in the transfer and acquisition market,Its business nature is equivalent to the private equity management function as understood by the mainland market.。Due to the stricter approval process for relevant businesses in the Mainland,,Many investment institutions choose Hong Kong as an international platform,Do business in global markets,and manage securities or futures contract investment portfolios for clients。

Hong Kong No. 1、4Number、9license platetransfer priceconsider

Hong Kong No. 1、4Number、9The transfer price of license plates is not fixed,It usually needs to be evaluated based on the actual situation of the target company.。in,Whether to carry products for transfer,Is one of the important factors affecting market prices。Generally speaking,License entities with products have relatively higher valuations in the market。

If Hong Kong No. 1、4Number、9License plates are sold in packages,Often more advantageous in terms of price and business integrity。For those interested in quickly setting up securities trading、For institutions with securities consulting and asset management business systems,Combined licenses can shorten the business implementation cycle to a certain extent,And improve the overall license allocation efficiency。

Hong Kong financial license layoutmarket advantage

Hong Kong as an international financial center and asset management center,Under the trend of increasing internationalization of global investment,,Financial institutions’ requirements for compliance qualifications will continue to increase。Whether you choose to apply or transfer、Obtain Hong Kong No. 1 by acquisition、4Number、9license plate,Complete compliance entry in advance,All help enterprises establish higher competition barriers in the international financial market。

For financial institutions planning to serve customers in China, Hong Kong and overseas,The Hong Kong Securities and Futures Commission license not only represents business access qualifications,It’s more about customer trust、product release、Money management、Cross-border services and subsequent capital operation capabilities。How to obtain a license plate、Main body due diligence、Compliance structure and subsequent maintenance,System planning should be carried out before trading。

Hong Kong Xintong Hong Kong SFC License Service Advantages

Hong Kong Xintong in Hong Kong No. 1、4Number、9Number plate transfer、Ten years of experience in acquisition and management,Be familiar with the registration procedures for Hong Kong licenses No. 1 to 10。As the largest Hong Kong securities license operator in Guangdong Province,,Hong Kong Xintong has long maintained its price advantage and professional advantage in the same field.,Can provide license application for enterprises、Acquisition evaluation、Transfer docking and compliance implementation support。

To learn more about Hong Kong 1、4Number、9Number plate transfer、Acquisition and management plan,You can further communicate with HKIT,Combined with enterprise business model、Equity structure、Person in charge’s qualifications and future operation plans,Develop a more robust compliance path。


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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Hong Kong and Chinese team · Senior financial compliance experts