Hong Kong License No. 149usually refers toHong Kong Securities and Futures CommissionCategory 1、Type 4 and Type 9 Regulated Activities License Portfolio，Covers securities transactions、Providing advice on securities and asset management and other core business scenarios。For investment institutions interested in entering the Hong Kong securities and asset management market，passHong Kong No. 149 license transferor acquire a compliant carrier through acquisition，Business deployment can be completed in a shorter time，and immediately carry out relevant licensed businesses。
The core components and business purposes of Hong Kong License No. 149
The reason why Hong Kong License No. 149 attracts market attention，The key is that its license portfolio can cover securities trading、Three types of high-frequency financial services: securities consulting and asset management。The regulatory scope corresponding to different licenses、Customer asset processing authority and business extension capabilities vary.，Before making an acquisition or transfer, an enterprise should clearly determine whether its business model matches its license authority.。
Hong Kong License No. 1：Securities trading license
Hong Kong No. 1 license is a type of license with a large number of licensed individuals and institutions on the market.。As of September 2016，There are 1,093 organizations holding Hong Kong License No. 1，There are 26,125 licensed individuals。
Hong Kong License No. 1 is a securities trading license，Usually, they can be divided into "big 1 card" and "small 1 card" according to whether they are qualified to hold client assets.。"Big 1" can hold client assets and operate them on their behalf，Stronger business carrying capacity，Therefore, the market price is generally higher than that of "small 1 brand"。In the Hong Kong No. 149 license transfer transaction，1The scope of authority of a license plate is often an important factor in assessing the value of the license plate.。
Hong Kong license No. 4：Securities advisory license
Hong Kong No. 4 license belongs to the fourth type of license for regulated activities under the Securities and Futures Ordinance of Hong Kong，Mainly used to provide professional advice on securities。This license is usually applied for or configured together with the Hong Kong No. 1 license，Form a business combination of “securities trading + securities consulting”。
For institutions wishing to quickly enter the Hong Kong securities market，The transfer of Hong Kong No. 149 license can effectively avoid the complicated process involved in re-applying for a license with the Hong Kong Securities and Futures Commission.，Help companies complete the construction of securities business structures in a relatively short period of time。
Hong Kong license number 9：Asset management license
Hong Kong SFC No. 9 (asset Management)Is a Hong Kong asset management license，In recent years, it has received great attention from large private equity institutions in the Mainland.。Hong Kong stocks rise、Against the backdrop of tightening domestic private equity regulation，Enterprises through processing or acquisitionHong Kong No. 9 License Application：Advantages、Qualification requirements and process analysis，Overseas investment and asset management business can be carried out through compliance channels。
Hong Kong No. 9 license plate can also be divided into "big 9 plate" and "small 9 plate"。"Big 9" can hold client assets and manage assets for clients，Wider business coverage，Market demand is also stronger。For larger scale、For companies planning to systematically deploy the Hong Kong securities and asset management market，It is usually more efficient and advantageous to use Hong Kong No. 149 license transfer method。
Practical advantages of Hong Kong No. 149 license transfer
Hong Kong No. 149 license involves the approval of the Hong Kong Securities Regulatory Commission during the application process、Licensed person in charge configuration、corporate governance、business plan、Compliance system and continuous supervision requirements and other aspects。Compared to applying from scratch，Acquiring existing licenses is more suitable for those who want to start their business as soon as possible、Investment institutions that shorten the compliance preparation cycle。
- Reduces the time and cost required to reapply for a license；
- Helps enterprises quickly deploy Hong Kong securities and asset management businesses；
- The business suitability of "big brands" or "small brands" can be assessed based on license authority.；
- Suitable for planning securities trading、Securities consulting and asset management comprehensive business institution。
Requirements for RO licensed person in charge of Hong Kong license No. 149
There are differences in specific application and operation requirements for Hong Kong No. 149 license，But in RO (Responsible Officer，There are clear requirements for the configuration of licensed responsible person)。Each type of regulated activity usually requires more than 2 ROs。
In license plate combination 149，1The RO of No. 9 license plate and No. 9 license plate can be shared.，Therefore, the Hong Kong No. 149 license usually only requires 3 ROs.。This arrangement helps companies meet regulatory requirements while，Improve staffing efficiency and reduce compliance operational costs。
Advice on acquisition and transfer of Hong Kong No. 149 license
Currently we hold Hong Kong No. 149 license transfer resources that have been acquired through long-term market tracking and acquisition.，Can assist institutions interested in developing Hong Kong securities market and asset management business to efficiently promote transactions，Can start business immediately after taking over。Welcome to further communicate with Hong Kong Information Network about the specific license rights.、Transfer conditions and procedures。
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。
