Hong Kong No. 1、4Number、9licenses corresponding to securities transactions、Regulated activities such as advising on securities and asset management，It is for enterprises to enter the Hong Kong financial market、Important qualifications for conducting compliant financial business。For plans to deploy securities in Hong Kong、For institutions that engage in investment advisory and asset management business，1、4、9No. licenses can be applied for in combination if the conditions are met.，to match a more complete business scope。
Hong Kong 1、4、9Business scope of license plate
After the enterprise obtains Hong Kong No. 1 license，Can carry out securities trading activities；After obtaining Hong Kong license No. 4，Can provide investment advice to clients；obtainHong Kong license number 9：Core advantages、Licensing requirements and application processback，can provide asset management services。Different licenses correspond to different regulated activities，Enterprises should combine their own business models、Customer type、Business processes and staffing，Confirm the type of license you need to apply for。
How to obtain Hong Kong license No. 149
enterprise acquisitionHong Kong 1、4、9license plate，There are usually two types of paths to choose from：
- Register a company in Hong Kong，Prepare application conditions and materials in accordance with regulatory requirements，并依照正式办理流程向Hong Kong Securities and Futures CommissionSubmit application。
- Directly purchase existing companies holding Hong Kong licenses，Obtain license resources through acquisition。
Compared to new applications，Acquiring an existing licensed business is often less time-consuming and labor-intensive，But the price is relatively high。Some customers hope that the Hong Kong branch will have the same shareholding structure as the mainland company.、Maintain unity in management structure or overall group layout，Usually there is a tendency to choose a new application method。
Hong Kong No. 149 license application process and review key points
Hong Kong No. 1、4Number、9The application threshold for licenses is not low.，Regulators will look at the corporate structure、financial capacity、Solvency、Shareholder background、Personnel qualifications、Comprehensive review of office space and business compliance arrangements, etc.。Before the company applies，You should fully assess whether you have the ability to continue operating、Compliance operation capabilities and resource allocation commensurate with business scale。
The financial capability and solvency of the company need to be assessed by the Hong Kong Securities Regulatory Commission，Completeness of application documents、Reasonableness of business plan、Qualifications of responsible personnel and clarity of shareholder backgrounds，It will affect the overall review progress and application results.。
Core application requirements for Hong Kong Type 9 license
byHong Kong SFC No. 9 (asset Management)For example，Apply for business in capital、office space、Clear requirements must be met in terms of staffing, shareholder background, etc.：
- capital requirements，Paid-in capital shall not be less than HKD 5 million。
- The company needs to have a physical office address in Hong Kong。
- In terms of personnel, two No. 9 license holders are required.。
- Relevant personnel have academic qualifications、Work experience and work experience must meet specific requirements。
- Major shareholders should have strong economic strength，and no bad record。
Market value and application suggestions for Hong Kong financial licenses
Launch of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect，Further enhance the willingness of mainland investors to enter Hong Kong’s financial market。Hong Kong serves as an important bridge connecting mainland capital and international markets，Continue to attract many investors and financial institutions to deploy。
If an enterprise plans to carry out different types of financial business activities in Hong Kong，Must obtain corresponding financial license。We recommend that before initiating an application or acquisition，Check the business scope first、License type、Equity structure、Systematic assessment of personnel qualifications and capital arrangements，Avoid insufficient early planning from affecting application efficiency or subsequent compliance operations。
If you need to apply or purchase ready-made Hong Kong No. 1、4Number、9license plate，You can contact Hong Kong Xintong for professional consultation。
About Hong Kong Xintong
GXT-HKComposed of professional teams from mainland China and Hong Kong，Focus on providing global company registration、Financial license application、Bank account opening、One-stop cross-border services such as tax financial planning and compliance consulting，Core covers Hong Kong MSO license、Hong Kong Insurance Brokers and Hong Kong Money Lenders Licenses、US MSB license、Hong Kong 149 license、9license plate，Helping enterprises to go overseas efficiently and compliantly，Steady global layout。
