Hong Kong financial licenseApply for subject qualifications、Substantive operations、Management structure、Responsible personThere are clear requirements for allocation and capital levels.。Enterprises planning relevant regulated activity licenses from the Hong Kong Securities and Futures Commission，Especially the 1st、4、6、9When obtaining a financial license，The company structure should be completed in advance、office space、Personnel qualifications、Key arrangements such as internal controls and bank accounts，To ensure a clear application path、Solid foundation for compliance。
Hong Kong financial license application entities and operational requirements
- The applicant must be a limited company incorporated in Hong Kong，or a non-Hong Kong company registered with the Hong Kong Companies Registry。
- The company must have a physical office address in Hong Kong，And the office space should be a Grade A office building。
- Enterprises should deploy an experienced management team，Able to assist the company in its continued operations，and establish a clear business framework、Internal control system and competent responsible officer (RO) arrangements。
- The business must have two licensees。In relation to the nationality of the licensed individual and responsible officer，There are no special restrictions or additional requirements from the Securities and Futures Commission of Hong Kong。
Responsible personnel and director configuration requirements
At least one responsible officer must have Hong Kong as his main base，To be able to directly supervise the daily operations and compliance execution of relevant regulated businesses。
- At least one responsible person within the company must also be a member of the board of directors。
- The responsible officer arranges the types of regulated activities that the enterprise should apply for、Match the business scale and internal control framework。
Registered capital and capital requirements of Hong Kong companies
When applying for relevant Hong Kong financial license，The registered capital requirement for Hong Kong companies is HKD 5 million.；Enterprises must continue to maintain paid-in share capital and liquid capital of no less than HK$3 million.。at the same time，The company must open an account in a Hong Kong bank，To support license applications、Proof of capital、Daily settlement and subsequent compliance operations。
Hong Kong 1、4、6、9No. financial licensebusiness value
Hong Kong 1、4、6、9No. financial license usually applies toSecurities trading、Securities investment opinions、Institutional Finance Consultants andasset Managementand other core financial businesses。For plans to carry out cross-border wealth management、Fund management、securities advisor、For institutions providing IPO sponsorship and global asset allocation services，This type of license is an important compliance basis for entering Hong Kong’s regulated financial markets.。
Main business categories covered by the Hong Kong Securities and Futures Commission license
Category 1：Securities trading
- Provide clients with trading or brokerage services in stocks and stock options。
- Buy and sell bonds for clients。
- Buy or sell mutual funds and unit trust funds for clients。
- Engaged in the business of placing and underwriting securities。
Category 2：Futures contract trading
- Provide clients with trading or brokerage services in index or commodity futures。
- Buy or sell futures contracts for clients。
Category 3：Leveraged Forex Trading
- Conduct foreign exchange transactions for clients on margin basis。
Category 4：Advise on securities
- Providing investment advice to clients regarding the sale or purchase of securities。
- Issue research reports or analytical content on securities。
Category 5：Advising on futures contracts
- Provide investment advice to clients regarding selling or buying futures contracts。
- Issue research reports or analytical content on futures contracts。
Category 6：Advise on institutional financing
- Acting as sponsor for an initial public offering for a listing applicant。
- Regarding "Company Acquisition"、Providing advice on the Mergers and Share Buy-backs Code。
- Advising listed companies on Listing Rules compliance matters。
Category 7：Provide automated trading services
- An electronic trading platform that operates matching customer orders。
Category 8：Providing securities margin financing
- Provide financing to clients buying stocks，and use the client’s stocks as collateral。
Category 9：Provide asset management
- Manage securities or futures contract investment portfolios for clients on a discretionary basis。
- Manage funds on a discretionary basis。
Category 10：Providing credit rating services
- Just the company、Preparing reports on the creditworthiness of bonds and sovereigns。
Cross-border asset management applications for Category 4 and Category 9 licenses
Obtained from the Securities and Futures Commission of Hong KongClass 4 and Class 9 licensesback，Under the compliance framework, organizations can，Provide customers with diversified cross-border asset management services with a global perspective。Enterprises can develop asset allocation plans based on the specific needs of customers，And by integrating the group’s high-quality resources、Connect domestic and overseas resources，Gradually build global asset management and wealth management service capabilities。
Zhongcheng Yinxin has officially obtained the Type 4 and Type 9 licenses issued by the Hong Kong Securities and Futures Commission (SFC).，And use this as a new starting point for overseas investment layout。This type of license helps institutions focus on securities investment advice and asset management business，Establish a more complete cross-border financial service system。
Hong Kong Xintong financial license application and transfer services
Hong Kong Xintong can assist enterprises in handling various financial license applications and license transfer services，Including Hong Kong insurance broker license、Private equity fund license、insurance agent license、Insurance adjuster license、Commercial factoring license、Financial leasing license、pawn shop license、Financing guarantee license、Small loan license、Pay license、Crowdfunding company license、Credit reporting license、Internet finance license，and Hong Kong 1、4、6、9No. financial license, etc.。
As a Chinese and Hong Kong brand care question，Hong Kong Xintong focuses on enterprise business model、License type、Personnel structure、Capital arrangements and ongoing compliance requirements，Provide early assessment、Material preparation、One-stop service for submitting applications to follow-up operations support，Help enterprises reduce application uncertainty and improve compliance implementation efficiency。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
