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Hong Kong No. 1 License Application Requirements、Fee structure and handling suggestions

Financial card care question

Hong Kong License No. 1Application conditionsand processing procedures

The enterprise intends to carry out business related to Type 1 regulated activities in Hong Kong,should be inRO、Funding arrangements and Hong Kong company entities are in place.,TowardsHong Kong Securities and Futures CommissionSubmit a license application。We usually start from the subject qualifications、Staffing、Assist enterprises in pre-assessment in terms of financial status, compliance reputation, etc.,To improve the completeness and approval efficiency of applications。

  1. Conditional supplement:Our RO、funds、After Hong Kong companies are ready,Application for Hong Kong No. 1 license can be submitted to the Securities and Futures Commission of Hong Kong。
  2. Submit materials:Submit materials related to application conditions to the accepting department,Make a formal application。
  3. review stage:The Securities and Futures Commission of Hong Kong mainly looks at the financial situation of enterprises、Personnel qualifications、Review credit status and other aspects。
  4. License issuance:Eligible units,Hong Kong No. 1 license will be issued by the Hong Kong Securities and Futures Commission。

Hong Kong No. 1 license fee structure

The processing fee for Hong Kong No. 1 license is affected by many factors,One of the key differences is whether it involves holding investor assets。Distinguish by business operation method,Usually can be divided into "big 1 card" and "small 1 card":Big 1 cards can hold investor assets,Small 1 card cannot hold investor assets。Comprehensive application requirements、From the perspective of compliance configuration and subsequent operational arrangements,The processing fee for the big 1 card is usually higher than the small 1 card。

Hong Kong financial licenseProcessing and transfer support

Hong Kong Xintong has strong practical capabilities and rich experience in applying for Hong Kong financial licenses,Completed 1,000+ new Hong Kong financial license applications and acquisition and transfer cases。To help companies develop Hong Kong financial business faster,We can also provide multiple high-quality Hong Kong financial license resources for direct transfer options。

We focus on providing customers with industrial and commercial finance and taxation、Qualification agency、Hong Kong, Zhuhai and Macao license plates、One-stop service including license plate processing in both places,Thousands of successful cases have been accumulated。If an enterprise needs to evaluate Hong Kong No. 1 license application、Acquisition or transfer plan,You can further consult the Hong Kong Information Communications Consulting Team,We will provide you with professional、Prudent and efficient compliance support。


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 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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Hong Kong and Chinese team · Senior financial compliance experts