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Conditions for applying for Hong Kong No. 1 plate,How to apply for Hong Kong No. 9 license

Financial card care question

Hong Kong Xintong Peng Yi Aaron said that as the financial market around us slowly picks up,,A lot of money flows into products such as stock market funds,As an important financial market, Hong Kong,He has a complete financial management system。

If you want to participate in financial business activities in Hong Kong, you must hold a corresponding license.,What are the common No. 149 license plates in Hong Kong?

Application conditions

What about you?,Hong Kong Xintong International will give you detailed answers:Hong Kong financial licenses are divided into 10 categories,Corresponding to different business types。Hong Kong 1、4、9The license is actually Category 1 under the Securities and Futures Commission of Hong Kong.、Combination of Class 4 and Class 9 licenses。

Obtaining a 149 license requires a series of strict qualification reviews.,Enterprises that usually obtain Hong Kong 149 financial license,It also reflects that the financial institution is a compliant and powerful institution。1Class license,i.e. securities trading license,Only obtained a Class 1 license,You can only engage in providing securities transactions for clients in Hong Kong、Brokerage services, etc.。It is equivalent to mainland securities companies providing stock trading services to clients.。

4Class license,i.e. license to advise on securities,Only obtained a Category 4 license,Only then can you provide clients with securities investment advice in Hong Kong,Publish relevant research reports。9Class license,Provide asset management license,Only obtained a Category 9 license,Only then can you issue funds in Hong Kong,Manage client funds, etc.。Equivalent to mainland private equity license。The central bank has spoken out more than once:"Everyone who engages in finance must operate with a license.,Included in supervision,To achieve full coverage of supervision”。

The financial industry is a franchise industry,Business is carried out whether it is an organization or an individual,All are required to hold corresponding licenses。Hong Kong is connected to almost all global financial markets.,Naturally, it has become an important stop for overseas business expansion.,How to obtain a Hong Kong financial license is the important starting point for this stop。If you want to apply for Hong Kong 1、4、9license, then you can first consult Hong Kong Xintong International。

Hong Kong Xintong International has 13 years of business service experience,Accumulated a large number of Hong Kong 1、4、9License trading experience。There are high-quality resources in many large and small cities across the country.。We are always waiting for powerful companies to settle in and show their ambitions.。Related products:Conditions for applying for Hong Kong No. 1 plate , How to apply for Hong Kong No. 9 license


About Hong Kong Xintong

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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Picture of Zhou Haoming

Zhou Haoming

Zhou Haoming has experience in the fields of asset management and securities regulatory compliance in Hong Kong. 8 years of experience,Served in key business and compliance positions in a licensed asset management company。He is familiar with the Hong Kong Securities and Futures Commission (SFC) regarding 9 Application conditions for asset management license、Risk control framework requirements、internal compliance system、Compliance rules such as portfolio management control and officer qualification requirements。Zhou Haoming is good at formulating internal compliance manuals and ongoing operational compliance processes that comply with the Securities and Futures Ordinance.。

Areas of expertise:SFC 9 Application for number license、risk control framework、Officer qualification requirements、Securities and Futures Ordinance、Internal Compliance Manual。

Previous institutions:Hong Kong licensed asset management company & SFC Compliance Team

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