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Hong Kong No. 149 license transfer

Financial card care question

Relations between Hong Kong and mainland China are getting closer,Both places are eager to expand their markets,Hong Kong is relatively open to the outside world,Mainland enterprises attempt to obtain the possibility of conducting financial securities business in Hong Kong by applying for Hong Kong License No. 149,Extend business to overseas markets through the Hong Kong platform,but,Anyone who pays attention to Hong Kong's license management will know,Due to strict supervision,Difficult to apply,The transfer of Hong Kong license No. 149 is favored by enterprises。

While companies are considering obtaining business qualifications through the transfer of Hong Kong No. 149 license,transfer

cost

is the primary factor to consider,The Hong Kong Securities Regulatory Bureau is the department that issues Hong Kong No. 149 licenses.,There are different applications for individuals and institutions

Require

,Mainly from paid-up capital、Liquid funds, etc.

Require

————————The three types of Hong Kong No. 149 licenses also have detailed regulations according to different business operations.

Require

,Transfer of Hong Kong license No. 149

cost

Before learning anything,We expand on the specific functions of these three types of licenses。Hong Kong License No. 1:Also called Hong Kong Securities Trading License,It provides stock (option) trading、Bond buying and selling、Buy or sell mutual funds、Investment funds and other services。————Transfer of Hong Kong No. 149 license。

——————Hong Kong License No. 4:A Class I securities dealer license applied for by a securities consulting company,Generally, the No. 1 license plate and the No. 4 license plate complement each other.,After obtaining the No. 1 trading license,Many investors will ask for investment advice,Hong Kong license No. 4 can provide opinions on securities,Analyze research reports on securities investment to investors。

————Hong Kong No. 149 License Transfer_Hong Kong No. 9 License:Also called asset management license,It is a common way for mainland private equity institutions to go overseas.,But for the strength of the enterprise

Require

is very high,First of all, we need management talents、There are also high costs,Not an easy qualification to obtain。

The transfer of Hong Kong license No. 149 is a step to avoid various application assessments,Direct way to obtain qualifications,Because no matter what type of license it is,Its issuance must comply with the Securities and Futures Ordinance,Registering a company in Hong Kong or being an overseas corporation is a prerequisite,In addition, enterprises need to have a suitable business framework、Good financial capabilities and responsible personnel holding relevant licenses。


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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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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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