Hong Kong is a special administrative region under "one country, two systems"，因历史与制度优势，Higher degree of openness to the outside world。in recent years，越来越多内地机构希望通过申请或配置Hong Kong 1、4、9license plate，在香港开展证券及金融相关业务。
in Hong Kong，《证券及期货条例》下的受规管活动牌照共有12类，市场上较常见的是第1至Class 9 license。港信通现可协助客户处理香港1、4、9号牌照相关代办及配置事宜，帮助企业更快进入合规运营阶段。
Hong Kong 1、4、9号牌照的核心用途
Hong Kong financial license以序号区分不同受规管活动。企业在正式申请或配置香港1、4、9号牌照前，应先清晰了解各类牌照的业务功能、适用场景及监管要求。
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.。第1类牌照是常见9类牌照中，持牌个人及持牌单位数量最多的一类。
Class 4 license：Securities consulting
Type 4 license under the Securities and Futures Ordinance is a securities advisory license，属于咨询类受规管活动。Organizations holding such licenses，Can provide investors with appropriate investment advice。In practice，为促成证券交易安排，第4类牌照通常会与第1类牌照一并申请或配置。
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香港金融牌照。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，通常需要结合是否持有客户资产来判断。Generally speaking，持有客户资产与不持有客户资产的牌照申请要求及审查难度并不相同，企业应根据实际业务模式提前规划。
Category 4 license application requirements
Applying for a Type 4 license usually requires registering a Hong Kong company，并配置与公司业务规模相适应的公司架构。at the same time，企业需配备2名以上负责人员（RO）。在合规条件满足的情况下，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
申请第9类牌照通常需要具备以下条件：
- Having a company in Hong Kong，Or apply in the form of an overseas corporation；
- 具备一定资金能力，用于满足偿债及持续经营要求；
- 配置经香港证监会考核合格的人员；
- 至少配备2名负责人员；
- Have paid-up share capital of more than HK$5 million；
- Have liquid capital of more than HK$3 million。
Hong Kong License No. 149RO配置实务
在咨询香港1、4、9号牌照代办或牌照配置时，许多投资人会优先寻找带有RO的持牌公司。In practice，如果一家公司同时持有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，部分职位可以共用，整体只需要3名RO即可完成相应配置。
港信通可根据客户拟开展的业务类型、Funding arrangements、人员背景及香港证监会监管要求，协助评估1、4、9号牌照申请路径、牌照配置方案及RO安排，帮助企业以更稳妥的方式进入香港金融市场。
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。
