The Hong Kong stock market is highly internationalized、Advantages such as free flow of capital and transparent system，It is an important market connecting global capital.。As mainland companies raise funds、Demand for asset allocation and cross-border financial services continues to grow，More and more institutions choose to conduct business through the Hong Kong securities market。Hong Kong License No. 149usually refers toHong Kong Securities and Futures CommissionCategory 1、Type 4 and Type 9 regulated activity licenses，Corresponding to securities transactions respectively、Core business purposes such as securities consulting and asset management，It is the license combination that mainland financial institutions focus on when entering the Hong Kong market.。
Core business scope of Hong Kong license No. 149
Hong Kong License No. 1：Securities trading business
Hong Kong License No. 1 is mainly applicable to securities companies engaged in securities transactions.。According to different business development needs，The market usually distinguishes between "larger No. 1 license plate" and "smaller No. 1 license plate"。A small No. 1 license can usually only provide customer introductions to securities firms.、Simple traffic diversion and other services；A No. 1 license can be used to carry out securities、Options and other trading services，More complete business permissions，It is also more suitable for institutions that want to establish a securities trading business system in Hong Kong.。
Hong Kong license No. 4：Securities consulting business
Hong Kong License No. 4 is suitable for providing securities investment advice and consulting services。before securities trading，Investors who lack professional judgment，Usually seek relevant investment advice from a licensed professional。in Hong Kong market，The number of individuals holding Type 4 licenses is usually greater than the number of licensed institutions。For securities companies，Apply for or obtain Hong Kong License No. 4，Help improve securities consulting service capabilities，and further promote the development of securities trading business。
Hong Kong license number 9：Asset management business
Hong Kong SFC No. 9 (asset Management)Also known as asset management license，Its market popularity is closely related to the tightening of private equity regulation in the mainland.。obtainHong Kong No. 9 License Application：main body、Funding and personnel review points，For large mainland private equity institutions，It is equivalent to an important pass for obtaining funds overseas and international asset allocation.。Similar to license plate number 1，9There are also different sizes of asset management licenses.，The price difference is more obvious。If you obtain the No. 9 license，Institutions can establish public funds and carry out fund retail business。
Basic requirements for application and transfer of Hong Kong No. 149 license
Hong Kong has corresponding application requirements for each type of financial business qualification license.。Whether obtaining Hong Kong license No. 149 through new application or license transfer，Basic conditions usually cannot be separated from the following points:：
- Apply in the name of a Hong Kong company or an overseas corporation established in Hong Kong；
- Equipped with more than 2 licensed persons responsible for regulated activities；
- Licensed person-in-charge must possess a designated degree、Have 3 years of relevant experience，And pass the examination prescribed by the Hong Kong Securities Regulatory Commission to obtain the corresponding professional qualifications；
- The applicant should have a sound financial position and solvency；
- Individuals or organizations need to be competent，and with honesty、Carry out relevant activities in an open and compliant manner。
Market background and processing value of Hong Kong No. 149 license transfer
Influenced by Hong Kong stock market performance、Influenced by factors such as the strengthening of financial supervision on the mainland and the growth of cross-border investment demand，Mainland institutions continue to accelerate their investment and financial business operations in Hong Kong。at the same time，The screening standards for applicants for Hong Kong’s No. 149 license are also increasing day by day.，Market prices overall show an upward trend。
In order to meet the needs of mainland enterprises to conduct financial business in Hong Kong more efficiently，Hong Kong Xintong has been following the Hong Kong financial license market for a long time，Continuously connect Hong Kong No. 149 license resources with different qualifications。Current Hong Kong license No. 149 with transfer conditions is currently available.，After completing the corresponding changes, you can promote business implementation，The overall cost can be lower than the conventional market price range。
Hong Kong No. 149 license transfer process and business implementation
After completing the Hong Kong No. 149 license transfer process，Investors can carry out corresponding regulated activities according to the type of license obtained.。If you obtain a No. 1 license，Can provide securities and options trading related services to securities investors；If you obtain the No. 4 securities consulting license，can further improve the securities services sector，Provide clients with professional investment advice；If you obtain the No. 9 asset management license，can manage assets for overseas customers，and conduct fund allocation on a global scale，Not subject to capital controls。
9Licenses are also divided into different business authority categories。If you apply for or obtain a Da No. 9 license，Institutions can further establish public funds and carry out fund retail business，More suitable for financial institutions with strong capital management capabilities and international asset allocation needs。
Hong Kong No. 149 license transfer fees and current license resources
The Hong Kong No. 149 license transfer fee will be affected by the license type.、Business permission size、Company qualifications、Compliance records、Influenced by factors such as the configuration of licensed persons in charge and market supply and demand conditions。Generally speaking，The Big No. 1 license and the Big No. 9 license have more complete business permissions.、Can be carried out in a wider scope，The price is usually significantly higher than license resources with less authority。
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。
