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Process and conditions for new application for Hong Kong No. 1 financial license

Financial card care question

The process and conditions for new application for Hong Kong's No. 1 financial license "The current status of Hong Kong's No. 1 financial license" is now a very hot situation,Hong Kong No. 1 plate,Many people in the financial industry want to complete a,Now let me talk about the content of No. 1 plate。

Class 1 Securities Transactions

  1. Provide clients with stock and stock options trading/brokerage services
  2. Buy and sell bonds for clients
  3. Buy/sell mutual funds and unit trust funds for clients
  4. To put it bluntly, the placement and underwriting of securities only have a Type 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.。

At present,We can handle all relevant financial licenses,You can apply for the popular 149,If you need a direct license, we also have ready-made transfers.。For detailed information, you can directly consult a senior consultant. "Factual News" reveals the secrets of "Yunfeng Finance" held by Jack Ma.,Hong Kong is another powerful player in the robo-advisory market as Asia’s financial center,In the financial innovation tide of the past two years, it has become a little lonely.。

PwC survey found,Compared with the mainland,Hong Kong’s investment in fintech is relatively small,Hong Kong investment institutions account for only 14% of investments in the Fintech sector。The Hong Kong Financial Development Council also admitted that,Although Hong Kong has large financial businesses,But the development of financial technology is limited。

"Introduction" The company specializes in handling various financial licenses,Including Hong Kong insurance broker license、Excellent photos of private equity funds、insurance broker license、insurance agent license、Insurance adjuster license、Commercial factoring license、Financial leasing license、pawn shop license、Financing guarantee license、基金管理公司转让、Pay license、Crowdfunding company license、Credit reporting license、Internet financial brand,The company can also provide various financial license transfer services。


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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connect:Hong 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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Hong Kong and Chinese team · Senior financial compliance experts