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Hong Kong No. 149 license application:Application requirements、Business use and transfer of current license

Hong Kong 149 License Transfer Guide

The Hong Kong stock market is an important free market connecting global capital。As mainland enterprises expand their financing channels、Facing multiple restrictions on capital flow and financial business expansion,More and more companies are choosing to expand internationally through the Hong Kong securities market.。Hong Kong License No. 149handle,Usually refers to corporate applicationsInterpretation of the classification of Hong Kong financial licenses:1-10Application guide for popular licensesCategory 1、Type 4 and Type 9 regulated activity licenses,Corresponding to securities transactions respectively、Core financial business purposes such as securities consulting and asset management。

Basic application requirements for Hong Kong No. 149 license

Hong Kong has corresponding application standards for different financial business qualification licenses。Regardless of applying for Category 1、Class 4 or Class 9 license,Applicants must meet the following basic conditions::

  1. Hong Kong company,Or apply in the name of an overseas corporation established in Hong Kong。
  2. Allocate more than 2 persons responsible for regulated activitieslicensed responsible person。Licensed Responsible Persons usually require a specified degree、Have 3 years of relevant experience,and passHong Kong Securities and Futures Commission规定考试取得从业资格
  3. Have a solid financial position and debt repayment ability,Able to support the continued compliance operations of relevant financial businesses。
  4. Individuals or organizations must be competent,and with honesty、public、Conduct regulated activities in a compliant manner。

Market demand for Hong Kong No. 149 license continues to rise

Due to the active Hong Kong stock market、The influence of factors such as the strengthening of financial supervision on the mainland,Mainland enterprises and investors have significantly accelerated their pace of conducting financial business in Hong Kong.。at the same time,The screening standards for applicants for Hong Kong’s No. 149 license have also continued to improve.,Relevant application and acquisition costs will rise accordingly。

香港149号牌照申请条件
Hong Kong No. 149 license application conditions

In order to meet the needs of mainland enterprises to conduct financial business in Hong Kong more efficiently,We have long-term follow-up on the Hong Kong financial license market,And has acquired Hong Kong No. 149 license resources with different qualifications。Some current cards are currently transferable,The price is lower than the regular market price,Suitable for those who want to shorten the preparation period、Institutions that quickly enter Hong Kong’s compliant financial market。

Hong Kong No. 1、4Business purposes of license No. 9 and No. 9

After completing the Hong Kong No. 149 license application,Enterprises can carry out corresponding regulated businesses according to the type of license they hold。Type 1 license is mainly used for securities trading activities;If you hold "Big 1",Can provide securities and options trading related services to securities investors。

Hong Kong’s Type 4 license is a securities advisory license。For securities companies and financial service institutions,Type 4 license is to improve the securities consulting service sector、Important qualification license to enhance customer service capabilities。

Hong Kong’s Type 9 license is equivalent in function to a Mainland private equity license,Can manage assets for overseas clients,and conduct fund allocation on a global scale,Not subject to capital controls。Type 9 licenses also come in different sizes;If you apply for a "Big 9 License",Institutions can establish public funds and retail funds。

Hong Kong No. 149 license current license transfer and processing support

香港149牌照转让条件
Hong Kong 149 license transfer conditions

In order to meet the actual needs of investors to quickly develop business,We currently hold Hong Kong financial license No. 1-9 current resources。After the enterprise completes the corresponding changes,,It can promote the implementation of subsequent compliance business。Details about Hong Kong No. 149 license application and current license,Welcome to further communicate with us。


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。

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connect:Hong Kong Information Communications Consultant

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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