Zhonghe Credit Suisse, a subsidiary of Golden Sunflower Capital, recently passedHong Kong Securities and Futures Commission Quarterly Report：Licensed growth、Regulatory reform and enforcement prioritiesApproval，obtainHong Kong 1、4、9license plate。FinishHong Kong No. 149 plate applicationback，Enterprises can rely on Hong Kong as an international financial platform to integrate with the global capital market，and promote the export of domestic assets overseas through compliance channels.。
This case illustrates two key trends：on the one hand，Mainland China’s total wealth continues to increase，Investors have higher requirements for global asset allocation；on the other hand，The “Belt and Road” strategy further helps companies expand overseas markets。In this context，Hong Kong license 149 application requirements have become mainland financial institutions in recent years、Topics focused on by wealth management platforms and investment companies。
Regulatory requirements for Hong Kong No. 149 license plate application
There are obvious differences between the Hong Kong 149 license application and the mainland financial license application。Hong Kong implements financial license management system，Under the regulatory framework of the Securities and Futures Ordinance，Among the 10 types of regulated activity licenses，1Number、4Number、9No. license is among the top three license types in demand in the market.。
ApplyHong Kong License No. 149，企业通常需要配置2名对应的持牌负责人，即Responsible Officer（RO）。in the mainland context，RO is often understood to be responsible for core compliance、Key person in charge of risk control and business supervision responsibilities。
Qualification threshold for licensed responsible person RO
For mainland applicants，It is not easy to find a licensed responsible person who meets the requirements of the Hong Kong Securities and Futures Commission。The role of a licensed responsible person for compliance is not arbitrary，Usually required to pass relevant tests recognized by the Hong Kong Securities and Futures Commission，and in a university degree background、Industry experience、Management experience and other aspects to meet the corresponding requirements。
Many mainland applicants are applying for Hong Kong license plate 149，It is precisely because of the RO configuration、Unfamiliarity with qualification judgment and regulatory communication leads to obstacles。Hong Kong Xintong has long-term docking with relevant institutions in Hong Kong，And integrate resources of different types of licensed persons in charge，Planning licenses can be applied for、Provide professional support to clients in personnel matching and preparation of compliance documents。
Basic conditions to be met when applying for Hong Kong No. 149 plate
After solving the problem of licensed responsible person configuration，Hong Kong No. 149 plate application also needs to meet the following core requirements：
- The applicant must be a Hong Kong company，or an overseas corporation established in Hong Kong；
- Applicants must self-certify that they have a business structure and internal control system that is satisfactory to the Securities and Futures Commission of Hong Kong.；
- Applicants must have a stable financial situation。
RO configuration rules for Hong Kong No. 149 plate
Hong Kong regulatory requirements，Each type of regulated license usually requires 2 ROs。but，In Hong Kong license package No. 149，Individual licenses can share the same RO。therefore，Applying for Hong Kong No. 149 license does not necessarily require 6 licensed responsible persons，Subject to regulatory requirements，Only 3 licensed persons in charge can support the normal operation of relevant businesses.。
Practical advantages for mainland enterprises to apply for Hong Kong No. 149 license plates
If mainland companies have any questions about Hong Kong’s financial license policy、Unfamiliar with the focus of the CSRC’s review and subsequent compliance requirements，Blind application is often prone to repeated submissions、progress blocked，Even affect the overall business plan。
Hong Kong Information Communication has ten years of experience in assisting mainland investment companies to obtain Hong Kong business qualifications，Can provide customers with Hong Kong No. 149 plate application、Agent、transfer、Acquisition and other comprehensive services，and can support 1、2、3、4、6、9Business requirements for multiple types of licenses such as number。If you still need to know more about Hong Kong No. 149 plate application requirements、RO configuration plan or license plate acquisition path，Welcome to communicate with Hong Kong Information Communications Consultants。
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。
