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Summary of the differences and application process conditions for Hong Kong financial licenses No. 1-9

Financial card care question

In the past few decades of reform and development, the mainland’s economy has grown by leaps and bounds.,Give mainland enterprises the confidence to expand into international markets,Currently, half of Hong Kong’s financial companies are shareholders of mainland companies,This means that mainland enterprises have sufficient confidence in the international market.,But not all mainland companies can obtain Hong Kong financial licenses,Therefore, as there are more and more licensed companies in Hong Kong, the review and approval of financial license companies applying for future applications in Hong Kong will be strict.

Require

,Especially the shareholder background of mainland companies, etc.,The differences and application conditions for financial licenses in Hong Kong are basically the same.,The main thing is to review whether the strength of the licensed shareholders is in line with Hong Kong’s economic development.,detailed

Process

As well as the differences between each license, please contact Manager Peng Yi to make preliminary preparations.。

Hong Kong Category 6 Financial License Supervision Advising on Institutional Financing

Require

Licensed companies must always maintain paid-in share capital and liquid capital not less than the minimum capital

Require

;Licensees holding client funds must open a guardianship with a bank in Hong Kong.;Client funds must be stored in isolation。All licensees must retain financial solvency and financial standing、Financial Education Overview、Records related to internal compliance and internal control systems。

Follow-up work on obtaining Hong Kong’s Category 6 financial license to advise on institutional financing,Within one month after the license is issued,Notification of financial year end date to the Securities and Futures Commission,Within 4 months after the end of the financial year,Submit its audited accounts and other required documents,Submit financial resource declarations to the SFC every month. Benefits of Hong Kong Type 6 financial license to advise on corporate finance,The company will be eligible to provide institutional financing advice to domestic and foreign institutions,Includes M&A transactions、Fundraising campaign、Corporate and recapitalization、Securities Financing and Disclosure Matters。

thereby bringing about a more comprehensive financial platform,Provide customers with diversified financial product choices at the same time。Listed Company Secretary:We list your company / The agency provides comprehensive and thoughtful services,From pre-IPO corporate restructuring to ongoing compliance matters under relevant regulations,can help。Our qualified executive officers can act as named company secretaries or joint company secretaries,Work with your in-house company secretarial team,Monitor all compliance matters。

The services of Peng Yi’s management team include the following:

  1. Assist in setting up corporate governance structure、procedures and mechanisms,to comply with regulatory requirements
  2. on the meeting、vote、Chairman's Speech and Investor Relations,Provide guidance on best practices and operational procedures
  3. Maintain and update registers / index record,In compliance with the Listing Rules of the Stock Exchange of Hong Kong and the Securities and Futures Ordinance of the Hong Kong Special Administrative Region
  4. Assist in publishing company results
  5. Handling share repurchases and authorizing Hong Kong Information Communications to focus on Hong Kong financial license institution services,At present, Peng Yi's management team has rich experience in Hong Kong financial license application projects and more than 30 license application and transfer cases.,Let business owners refer to,We have M&A decisions、M&A targets、M&A timing、 M&A stage strategy、Post-merger integration、Financial license application registration、Hong Kong company establishment planning and a complete set of services to help business owners protect themselves,Let professional teams do professional things,We have been engaged in foundation services for thirteen years,Able to accept client entrustments while,Refined division of labor,Complete the application for a Hong Kong financial license in a relatively short period of time,Currently, Peng Yi Management Company has a clean Hong Kong financial license transfer,Business owners in need can contact Manager Peng Yi at any time for consultation.。

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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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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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