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Hong Kong No. 149 license application requirements,Analyze the latest cases

Financial card care question

Case analysis according to relevant reports,Zhonghe Credit Suisse, a subsidiary of Golden Sunflower Capital, recently passed the approval of the Hong Kong Securities Regulatory Commission.,Obtained Hong Kong license No. 1.4.9,Apply through Hong Kong License No. 149,Zhonghe Credit Suisse can use Hong Kong as a platform to integrate with the international capital market,Export domestic assets overseas through compliant channels。Judging from the above case of Zhonghe Credit Suisse obtaining Hong Kong license number 149,reflects two issues。

on the one hand,The increase in mainland China’s total wealth,Investors have higher pursuit of asset allocation;on the other hand,The proposal of the “One Belt, One Road” strategy has better assisted the development of enterprises overseas.。Hong Kong No. 149 license application

Require

In recent years, it has become a hot topic among mainlanders.。

——————Hong Kong No. 149 license application

Require

Comparing the differences between financial license applications in the Mainland,Hong Kong's trip is about the financial license management system,Among the 10 types of licenses regulated under the Securities and Futures Ordinance,149The number plates are the top three in application demand.。Hong Kong No. 149 license requires 2 corresponding responsible persons (RO),In the Mainland, they are called risk control officers.。

It is not easy for mainlanders to find the corresponding licensed person in charge,Licensees cannot be appointed casually,Compliant licensees should pass relevant tests conducted by the Securities and Futures Commission of Hong Kong,It also applies to the scope of university degrees and industry experience、Have some management experience

Require

,Many mainland applicants are having difficulty in applying for the Hong Kong No. 149 license.,Connect with relevant offices in Hong Kong,Concentrated various types of licensed persons in charge,Possess certain industry expertise when applying

Advantages

——————After solving the problem of licensed responsible person,To apply for a Hong Kong license No. 149, the following items must be met:

Require

  1. There is a Hong Kong company,or an overseas corporation established in Hong Kong;
  2. Self-certified that it has a business structure and internal control system that is satisfactory to the Securities and Futures Commission of Hong Kong;
  3. Must have a stable financial situation。

Hong Kong regulations,Each type of regulated license requires 2 ROs,But in Hong Kong license No. 149,Individual license plates can share the same RO,That is to say,Hong Kong No. 149 license application does not require 6 licensees,Only 3 licensees are needed to operate related businesses normally。

The mainland is not familiar with Hong Kong’s financial license application policies and applies blindly.,Hitting the wall abounds everywhere,Ten years of experience in assisting mainland investment companies to obtain qualifications to conduct business in Hong Kong,Provide agency services to customers、transfer、Acquisition and other comprehensive services,At the same time, we have licenses of 1.2.3.4.6.9 to provide services,If you apply for Hong Kong No. 149 license

Require

Still have doubts,Welcome further communication。


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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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