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Hong Kong No. 1 license application_Hong Kong No. 1 license application

Financial card care question

Hong Kong License No. 1 currently has the largest number of licensees and units among all Hong Kong securities dealer licenses.,As of September 2016,There are 1,093 licensed institutions and 26,125 licensed individuals respectively.。Reasons for the high demand for Hong Kong’s No. 1 license,On the one hand, it is also because the scope of business that can be engaged in is relatively broad.,The following is a guide to those who apply for Hong Kong No. 1 license:

Advantages

perform analysis。

From an objective perspective,The purpose of people applying for Hong Kong No. 1 plate is nothing more than to value the businesses they can operate.,in general,Hong Kong License No. 1 is a license to engage in securities trading,subdivided,Can provide stocks to customers、Brokerage services such as stock options and bond trading;buy for client、Sell ​​mutual funds and unit trust funds、Placing and underwriting securities are all within the scope of business that can be engaged in with the Hong Kong No. 1 license。

Apply for Hong Kong No. 1 license,Hong Kong’s Securities and Futures Commission imposes strict regulations,to the applicant

Require

from paid-up capital、Person in charge qualifications、company、Company structure and other aspects to expand。

Hong Kong No. 1 license application,Applicants must register and establish a company in Hong Kong,Have a physical address;Secondly, there must be no less than 5 million yuan of actual funds in place and more than 3 million yuan of current assets as a guarantee for the company's operations.;The competence of the person in charge of the organization needs to pass the relevant test of the Hong Kong Securities Regulatory Commission,Preferably have 3 years of relevant industry experience。

in recent years,Mainland enterprises are enthusiastic about applying for Hong Kong No. 1 license,Benefiting from the opening of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect securities mechanisms,Mainland enterprises want to open up the international market by applying for Hong Kong No. 1 license,Develop securities trading into overseas markets。

But there is a certain degree of difficulty,After successfully earning Hong Kong’s No. 1 license plate,The applicant must also inform the Hong Kong Securities and Futures Commission of the company’s financial year end date within one month.,Financial resource declaration forms must be submitted to the Securities Regulatory Commission on a monthly basis.,The improvement of follow-up work is also crucial to the company's operations.。

If there are enterprises that carry out multiple types of securities,It is inevitable to apply for Hong Kong license number 1-10,The Securities and Futures Commission of Hong Kong regulates each type of license

Require

different,Application difficulty varies。To learn more about Hong Kong No. 1 license application or Hong Kong No. 1-10 license application, please contact us.,We will give you some comprehensive suggestions。,Designated station for Hong Kong No. 1 license application,Professional team based in Hong Kong,Get first-hand information。


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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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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