Hong Kong License No. 149It is a combination of three core brokerage licenses that are currently highly concerned in the mainland market.。Hong Kong’s securities and futures regulated activity licenses are classified in order from 1 to 10，Different licenses correspond to different business functions。the past two years，With the opening of Shenzhen-Hong Kong Stock Connect，Mainland enterprisesHong Kong No. 149 license applicationThe demand for；at the same time，Hong Kong Securities and Futures CommissionBe cautious about approval of relevant licenses，Application thresholds and review requirements continue to increase。To improve the application success rate，Many mainland enterprises choose to be assisted by professional organizations to promoteHong Kong No. 149 license agencyWork。
Hong Kong License No. 149business purposes
Before applying for Hong Kong license No. 149，Enterprises need to first clarify the business boundaries and applicable scenarios of the three types of licenses。Hong Kong License No. 1Applicable to institutions engaged in securities trading；Hong Kong license No. 4Applicable to institutions that provide securities investment advice to investors；Hong Kong license number 9It is applicable to institutions planning to engage in asset management business。
Form a clear judgment on the Hong Kong No. 149 license application conditions and procedures，Helps companies complete business positioning before applying、Staffing、Corporate structure and compliance document preparation，So as to promote the application work more efficiently。
Hong Kong No. 149 license application process
Hong Kong No. 149 license agency has certain commonalities in application conditions and processing procedures.。All three types of licenses fall within the scope of approval by the Securities and Futures Commission of Hong Kong.，During the application process, two Hong Kong licensed persons are usually required.，and undergo a series of rigorous reviews stipulated by the China Securities Regulatory Commission.、Testing and assessment。
Regardless of the business plan to apply for Hong Kong No. 1、4No. or No. 9 license plate，and establish corresponding licensed corporations，The prerequisite is usually that the company needs to be registered in Hong Kong；The applicant can be a Hong Kong company or a non-Hong Kong company。Enterprises should complete the main body construction before applying、Business model review、Responsible person qualification assessment and compliance system preparation，To ensure that application materials can fully respond to regulatory requirements。
Hong Kong license No. 149 application requirements
There are differences in specific application requirements for Hong Kong No. 149 license。Since the Hong Kong Securities Regulatory Commission’s approval standards and focus on the top ten securities firm licenses are not exactly the same，Hong Kong No. 1、4The difficulty of applying for No. 9 and No. 9 licenses will also be different.。
Hong Kong License No. 1Mainly corresponding to securities trading activities。in practice，General securities firms usually hold both the Hong Kong No. 1 license andHong Kong license No. 4，On the one hand, it can provide clients with securities investment advice，On the other hand, it can also provide customers with securities trading services，Thus forming a more complete closed loop of securities business。
The practical value of Hong Kong’s No. 9 asset management license
Hong Kong license number 9with Hong Kong No. 1、4There is a clear difference between license plates，Its core attribute is an asset management license。Applicants with Hong Kong license No. 9，Can conduct asset management business according to customer entrustment。
in recent years，It is common for many private equity management funds in the mainland to queue up to apply for the Hong Kong No. 9 license.。Well-known private equity institutions that have successfully obtained relevant qualifications include Jingtai Lifeng、ivy assets、Tianma Assets、Infore Capital, etc.。Enterprise Layout Hong Kong No. 9 License，More of them hope to expand the international market with the help of Hong Kong’s international financial platform.，Get a broader business space。
Advice on applying for Hong Kong No. 149 license
Affected by the strict review of the Hong Kong Securities Regulatory Commission，The difficulty of applying for Hong Kong No. 149 license continues to rise。If companies want to improve their application confidence，The selection of license plate type should be completed as early as possible、Business scope confirmation、Arrangement by licensed responsible person、Establishment of internal control system and preparation of application materials，and keep a close eye on changes in regulatory policies。
Hong Kong Xintong has long been engaged in Hong Kong No. 149 license agency and other financial license application services，Equipped with a professional team based in Hong Kong，Familiar with the Hong Kong Securities and Futures Commission license application process、Review focus and policy trends。We can assist enterprises in systematically evaluating application conditions、Plan the processing path、Improve compliance documents，and promote the steady implementation of the application work。If you need to know the conditions for applying for Hong Kong No. 149 license、Process and application plan，Welcome to contact Hong Kong Information Communications Consultants for further communication。
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。
