Hong Kong is a special administrative region under "one country, two systems"，Due to historical and institutional advantages，Higher degree of openness to the outside world。in recent years，More and more mainland institutions hope to apply or allocateHong Kong 1、4、9license plate，Carrying out securities and financial related businesses in Hong Kong。
in Hong Kong，There are 12 types of regulated activity licenses under the Securities and Futures Ordinance，市场上较常见的是第1至第9类牌照。Hong Kong Xintong can now assist customers to handle Hong Kong 1、4、9Matters related to agency and configuration of license plates，Help enterprises enter the compliance operation stage faster。
Hong Kong 1、4、9The core purpose of the license plate
Hong Kong financial licenseDistinguish between different regulated activities by serial number。Enterprises are formally applying or configuring Hong Kong 1、4、9in front of license plate，You should first clearly understand the business functions of various licenses、Applicable scenarios and regulatory requirements。
Class 1 license：Securities trading
Type 1 license under the Securities and Futures Ordinance is a securities trading license，Mainly used to provide customers with securities trading related services，Including stock and options trading services，Can also buy and sell bonds for clients、Buy and sell mutual funds, etc.。Type 1 license is one of the common 9 types of licenses，The category with the largest number of licensed individuals and licensed entities。
Class 4 license：Securities consulting
Type 4 license under the Securities and Futures Ordinance is a securities advisory license，It is a consultancy regulated activity。Organizations holding such licenses，Can provide investors with appropriate investment advice。In practice，To facilitate securities trading arrangements，Category 4 licenses are usually applied for or configured together with Category 1 licenses。
Class 9 license：asset Management
Type 9 license under the Securities and Futures Ordinance is an asset management license，Can be used to manage assets for overseas clients，是内地大型私募机构较为关注的一类Hong Kong financial license。The innocent heart of the mainland、Shengshi Investment、Tianma Asset and other institutions，All have entered the Hong Kong market through application or acquisition.。
Hong Kong 1、4、9License application requirements
Category 1 license application requirements
Difficulty of applying for a Category 1 license，It usually needs to be judged based on whether it holds client assets.。Generally speaking，The application requirements and review difficulty for licenses that hold client assets are different from those that do not.，Enterprises should plan in advance based on actual business models。
Category 4 license application requirements
Applying for a Type 4 license usually requires registering a Hong Kong company，And configure a company structure that is suitable for the company's business scale。at the same time，Enterprises need to be equipped with more than 2 responsible personnel (RO)。When compliance conditions are met，The responsible officer for a Category 4 license may communicate with the Category 1、The responsible persons holding licenses for Type 9 licenses overlap。
Class 9 license application requirements
Applying for a Type 9 license usually requires the following conditions:：
- Having a company in Hong Kong，Or apply in the form of an overseas corporation；
- Have certain financial capabilities，Used to meet debt repayment and going concern requirements；
- Allocate personnel who have passed the assessment of the Hong Kong Securities Regulatory Commission；
- Equipped with at least 2 responsible personnel；
- Have paid-up share capital of more than HK$5 million；
- Have liquid capital of more than HK$3 million。
香港149号牌照RO配置实务
In consultation with Hong Kong 1、4、9When applying for a license plate or assigning a license plate，Many investors will give priority to looking for licensed companies with RO。In practice，If a company simultaneously holds 1、4、9license plate，It does not mean that each type of license must have a completely independent responsible person.；Subject to compliance with regulatory requirements，Some positions can be shared，Only 3 ROs are needed to complete the corresponding configuration.。
Hong Kong Xintong can be based on the type of business that the customer intends to carry out、Funding arrangements、Personnel background and regulatory requirements of the Hong Kong Securities and Futures Commission，Assist with assessment 1、4、9Number plate application path、License plate configuration plan and RO arrangement，Help enterprises enter the Hong Kong financial market in a more secure way。
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。
