As of December 2017，Statistics from the Securities and Futures Commission of Hong Kong show，The total number of licensed companies in Hong Kong has reached 4,892。in，Hong Kong No. 1 plate1247 companies、4number plate1291 companies、9number plate1477 companies，Hong Kong No. 149 plate processingQuantity accounts for 82.07%。This set of data fully reflects，Hong Kong No. 1、4Number、9license plateIt is still the core compliance qualification for financial institutions to deploy in the Hong Kong market.。
Hong Kong as an international financial center，Attracting a large number of mainland financial companies to enter the market through compliance and licensing、Expand business territory。2017annual，Hong Kong SFCA total of 177 No. 9 cards were issued。For program applications or undertakingsHong Kong No. 149 plateof organizations，Fully understand the handling standards of Hong Kong SFC、Personnel Requirements and Compliance Responsibilities，is to improve processing efficiency、Key to reducing approval and operational risks。
Hong Kong No. 149 plateThe regulatory basis for handling
Hong Kong financial licenseApplications are strictly regulated，When an institution carries out regulated financial activities，Must meet both company-level and personnel-level licensing requirements。We have been working in the field of professional processing of financial licenses in Hong Kong for 11 years，Familiar with the procedures of the Hong Kong Office、Key points of system and practice review，Can assist customers to complete license planning and application more efficiently。
- Institutions and companies engaged in financial activities，All are required to hold corresponding licenses。
- Employees working in institutions and companies engaged in financial activities，You also need to hold the corresponding license。
In other words，As long as the organization is engaged in regulated activities，Not only does the company need to hold the corresponding license，Corresponding licensed personnel must also be deployed for actual operations.。For example，After the company holds Hong Kong license number 149，Employees within the company also need to obtain personal licenses that match their business activities.。
Types of employee licenses andResponsible personConfiguration
In Hong Kong’s financial licensing framework，Practitioner licenses are mainly divided into two categories:，Corresponding to different responsibilities and regulatory requirements。
- represent。
- Responsible person，The so-called risk control officer。If the company holds a Hong Kong financial license，At least 2 responsible personnel need to be hired，And the person in charge cannot hold concurrent posts at the same time。
Responsible staffing is an important link in Hong Kong SFC review。Institutions must not only meet headcount requirements，You also need to ensure that the person responsible has experience that matches the scope of the business、Qualifications and ability to perform duties，Otherwise, it may affect the license application progress and subsequent compliance operations.。
Hong Kong SFC Compliance Risks and Legal Liabilities
Hong Kong’s financial market supervision system is improved，Relevant regulations set forth clear requirements for licensed companies and responsible personnel.。When applying for Hong Kong No. 149 plate，Compliance issues are particularly critical。Institutions need to be familiar with local financial regulations in Hong Kong、Regulatory system and CSRC requirements，Only in this way can unnecessary risks be reduced during the application and operation process.。
If you violate SFC regulations in Hong Kong，May face civil penalties or criminal liability，Specific consequences depend on the severity of the violation。at the same time，The company and responsible personnel may also bear corresponding responsibilities respectively.。therefore，License application is not just a matter of submitting information，More about business model、Personnel structure、Overall planning of internal control systems and ongoing compliance arrangements。
The practical value of professional organizations handling Hong Kong No. 149 plates
This is precisely because Hong Kong’s financial license approval and operation supervision requirements are relatively high.，Many financial institutions will choose professional agencies to assist in applying for Hong Kong financial licenses。Intervention through professional team，Enterprises can sort out application paths faster，Reduce the cost of data preparation、Staffing、Repeated communication and approval delays caused by inadequate compliance system design。
Hong Kong Xintong has 11 years of experience in professional processing of Hong Kong financial licenses，Familiar with the procedures of the Hong Kong Office、Law and system，Provide commission-free services to customers。We can also help connect existing Hong Kong financial license transfer resources，The price is 20% lower than the market price，And it is the only commission-free processing agency in China as its service positioning，Reduce transaction and compliance costs for customers。
We provide full one-stop hosting service，500+ cases have been successfully handled，Customers served include well-known domestic and foreign securities companies、Banks and investment companies with strong capital, etc.。For planning to apply for Hong Kong No. 149 plate、Organizations applying for Hong Kong financial licenses or evaluating existing license transfer options，Hong Kong Xintong can provide professional、steady、Systematic compliance support。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
