Hong Kong and New York、London is tied as the world's three largest financial center，Have a mature capital market、International regulatory system and highly open financial environment。For plans to expand overseas financial business、For mainland financial institutions that participate in Hong Kong securities trading activities and enter international capital markets，ApplyHong Kong Securities and Futures CommissionType 1 and Type 4 regulated activity licenses，It is an important step in establishing a compliance business foundation.。
Hong Kong 1、4number plateAfter approval，Institutions can engage in securities trading-related businesses within the compliance framework，May also provide advice on securities，Helps further enhance the company's professional status and customer trust in the Hong Kong stock market and international financial markets。
Hong Kong 1、4Subjects and organizational requirements for license plate application
Apply to Hong Kong 1、4number plate，Enterprises need to meet the requirements of the Hong Kong Securities Regulatory Commission for applicants、business structure、Basic requirements for internal monitoring and core staffing。Mainly include：
- Shareholders of the company should meet the requirements，Includes companies established in Hong Kong，or an overseas company registered with the Hong Kong Companies Registry。
- The company needs to have a suitable business structure、Good internal control system，and have competent and qualified personnel，Able to identify in the business management process、Face and deal with relevant risks。
- Responsible personNot less than two，One of them shall be responsible for supervising the relevant business，And at least one must be an executive director who meets the requirements of the Hong Kong Securities and Futures Commission，and must seek approval from the Securities and Futures Commission of Hong Kong。
Hong Kong No. 1 plateofcapital requirements
When applying for a Type 1 license from the Hong Kong Securities and Futures Commission，Different business models correspond to different paid-in capital and working capital requirements，Enterprises should plan based on the type of business they plan to carry out：
- If the applicant company is an approved trader，Need to have working capital of more than HK$500,000。
- If you apply for the company to provide securities margin financing，Paid-up capital required is up to HK$10 million，Working capital required is up to HK$3 million。
- If the applicant company does not fall into the above two situations,，The paid-in capital must be greater than HK$5 million，Working capital needs to be greater than HKD 3 million。
Hong Kong No. 4 platecapital requirements
When applying for a Type 4 license from the Hong Kong Securities and Futures Commission，Capital requirements mainly depend on whether it is subject to the licensing condition of "not holding client assets"：
- If the regulated activity is subject to a licensing condition that prohibits the holding of client assets，Working capital needs to be greater than HK$100,000。
- If it does not fall into the above situation，The paid-in capital must be greater than HK$5 million，Working capital needs to be greater than HKD 3 million。
Hong Kong 1、4Advice on license plate application
The above is Hong Kong 1、4Basic requirements for license plate application。During the actual application process，Enterprises also need to combine business models、Personnel resume、Compliance system、Risk control arrangements、Financial status and Hong Kong Securities and Futures Commission review focus on system preparation，To improve application efficiency and reduce the uncertainty of supplementary documents and review。
Hong Kong Xintong has experience in Hong Kong financial license processing，Can provide customers with one-stop service for full custody of Hong Kong number plates 1-10，Assist enterprises to quickly connect with Hong Kong processing resources，and professionally、rigorous、Facilitate the application process in an efficient manner。We will wholeheartedly provide compliance support to enterprises，Help businesses steadily enter Hong Kong and international financial markets。
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。
