Hong Kong Xintong has been deeply involved in Hong Kong's financial license processing business for ten years，Provide customers with long-term Hong Kong Class 1-10 license consultation、Apply、Comprehensive services such as processing and transfer。We have an office in Hong Kong，Continue to follow up on local regulatory policy trends，familiarHong Kong Securities and Futures CommissionApproval logic and practical requirements，Committed to providing enterprises with high efficiency、Implementable compliant entry path。For plans to acquire through acquisitionHong Kong License No. 1of institutions，Welcome to contact Hong Kong Xintong for specific plans.。
Similar to the mainland’s financial regulatory system，Engage in financial securities related business in Hong Kong，Companies or individuals usually need to obtain a financial license issued by the Hong Kong Securities and Futures Commission。To strengthen market supervision and investor protection，Hong Kong's securities、futures、Financial activities such as asset management have strict licensing requirements。
Regulatory requirements for Hong Kong License No. 1
Units engaged in relevant financial activities，Need to be based on actual business category，Apply for the corresponding category among the 12 types of regulated qualification licenses。in recent years，Hong Kong No. 1 License AcquisitionGradually becoming a market trend，The reason behind this is the review and approval cycle for new applications、Staffing、Capital strength and ongoing compliance requirements have high thresholds。
Hong Kong License No. 1 is for individuals and companies engaged inSecurities tradingImportant qualifications required for activities。Among the various Hong Kong Securities and Futures Commission licenses，1The market demand for license plates is relatively prominent。As of September 2016，The number of individuals holding No. 1 licenses in Hong Kong reached 26,125，Proportionately larger；There are 1,093 licensed institutions。
The business scope approved by different types of licenses is not the same。Units that have obtained Hong Kong No. 1 license，Can provide investors with buying and selling stocks and stock options、Buy and sell bonds、Services such as buying and selling mutual funds and trust funds。Due to the strict approval process of the Hong Kong Securities Regulatory Commission,、Strict application conditions，The acquisition of Hong Kong No. 1 license has become an important channel for many institutions to enter securities trading-related businesses.，Equivalent to obtaining the key qualification basis for entry into regulated activities。
Hong Kong No. 1 License Application Requirements
If an enterprise chooses to directly apply for a new securities dealer license，Need to meet a series of regulatory requirements。Basic prerequisites include registering a company in Hong Kong，and have sufficient financial strength，To cope with potential risks and ongoing compliance costs in securities trading business operations。
In addition to the company's main body and financial capabilities，The Securities and Futures Commission of Hong Kong will also focus on reviewing the company’s business model、internal control、risk management、Compliance system、Customer asset protection arrangements and anti-money laundering mechanisms。For institutions planning to conduct securities trading business，Establish a compliance framework in advance that meets regulatory expectations，Is the key to improving the success rate of your application。
Responsible personQualification requirements for executive directors
Regardless of choosing Hong Kong No. 1 license acquisition，Or apply for a new license directly?，Regulatory agencies have very high qualification requirements for responsible personnel。For securities trading activities，A licensed corporation must appoint no less than two responsible officers，Directly supervise or supervise at any time the relevant regulated activities；at the same time，At least one executive director approved by the Securities and Futures Commission of Hong Kong is required。
Responsible officers are usually required to pass a qualification test recognized by the Securities and Futures Commission of Hong Kong，And have industry experience that matches the securities trading business、Management capabilities and compliance awareness。in reality，Talents that meet regulatory requirements and have practical business management experience are relatively scarce，This is also an important difficulty faced by many companies in the process of applying for or acquiring Hong Kong No. 1 license.。
The commercial value and compliance advantages of Hong Kong No. 1 license acquisition
Hong Kong as an international financial center，It is an important platform for mainland enterprises to expand overseas business.。For those planning to enter securities trading、For companies in wealth management and capital market services，Obtained Hong Kong No. 1 license through acquisition，Helps shorten business layout cycle，Improve market entry efficiency，and enhance compliance competitiveness in the field of cross-border financial services。
There are companies in the market that have expressed their intention to hold securities dealer licenses through acquisitions.、Intention to further expand financial territory。For example，Directors of Legend Holdings mentioned，Interested in holding a brokerage license through acquisition，To achieve expansion in the financial field。It can be seen that，The acquisition of Hong Kong No. 1 license has attracted the attention and favor of many companies。
It should be noted that，Obtaining a license does not mean the end of compliance work。Licensees or licensed institutions should continue to comply with the Securities and Futures Ordinance and other relevant provisions of Hong Kong，in business operations、Personnel appointment、Customer due diligence、Risk disclosure、Maintain compliance in aspects such as fund management and regulatory filings，Only by truly leveraging the long-term commercial value and competitive advantages of Hong Kong’s No. 1 license。
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。
