Hong Kong License No. 149It is a combination of three types of Hong Kong Securities and Futures Commission licenses that are of great concern to mainland institutions.，Corresponds to Hong Kong No. 1、4No. and No. 9 license plates。Hong Kong securities licenses are classified from 1 to 10，Different licenses correspond to different regulated activities and business functions。the past two years，With the launch of Shenzhen-Hong Kong Stock Connect and the rising demand for cross-border financial services，Mainland enterprises’ demand for Hong Kong No. 149 licenses has increased significantly；at the same time，Hong Kong Securities and Futures CommissionBe cautious about approval of relevant licenses，Applicants need to prepare the structure more systematically、personnel、Business and Compliance Materials，To improve the chances of getting approval。
Business purposes of Hong Kong License No. 149
Before applying for Hong Kong license No. 149，Enterprises should first clarify the business boundaries corresponding to the three types of licenses：
- Hong Kong License No. 1：Applicable to institutions engaged in securities trading activities，Is a securities broker、Common core qualifications for transaction execution and other businesses。
- Hong Kong license No. 4：Applicable to the business of providing advice on securities，Including activities such as providing securities investment advice to investors。
- Hong Kong license number 9：Suitable for asset management business，Licensed institutions can conduct asset management based on customer entrustment。
Generally speaking，The securities firm will hold both the Hong Kong No. 1 license and the Hong Kong No. 4 license.，In order to provide customers with securities investment advice，Transaction services can also be provided。Hong Kong No. 9 license is different from the previous two types of licenses，Belongs to asset management license，In recent years, many mainland private equity management funds have been actively queuing up to apply for the Hong Kong No. 9 license.，Hope to use the Hong Kong platform to expand into the international market、Expand larger business space。Well-known private equity institutions that have successfully obtained relevant qualifications include Jingtai Lifeng、ivy assets、Tianma Assets、Infore Capital, etc.。
Hong Kong license No. 149 application requirements
Hong Kong No. 149 licenses are regulated licenses approved by the Securities and Futures Commission of Hong Kong.，During the application process, you need to meet the requirements of the Securities Regulatory Commission for licensed corporations.、Responsible person、Review requirements for business capabilities and compliance systems。Regardless of applying for Hong Kong No. 1、4No. or No. 9 license plate，The prerequisite for applying to establish a licensed corporation is usually having a suitable corporate entity，Either a Hong Kong company or a non-Hong Kong company can be part of the application arrangement。
Applying for a license generally requires two Hong Kong licensed persons in charge，And accept a series of strict tests and assessments stipulated by the Hong Kong Securities Regulatory Commission。Since the Hong Kong Securities Regulatory Commission has different emphasis on the approval standards of the top ten securities and futures licenses,，Hong Kong No. 1、4Number、9How difficult is it to apply for a license plate?、The focus of materials and review logic are also completely different.。
Hong Kong No. 149 license application process
Applying for Hong Kong No. 149 license is not just about submitting a form，It's about a business model、Company structure、Personnel qualifications、System engineering for internal control compliance and regulatory communication。Enterprises should focus on completing the following tasks before applying：
- Confirm whether the proposed business falls within Hong Kong No. 1、4Scope of regulated activities corresponding to license No. 9 or No. 9。
- Build a company entity that meets the requirements of the Hong Kong Securities Regulatory Commission、Equity Structure and Governance Structure。
- Arrange 2 Hong Kong licensed responsible persons who meet the requirements，and prepare their qualifications、Experience and competency materials。
- Establish business processes、Compliance system、Risk management and internal control arrangements。
- Prepare application documents as required by the Securities and Futures Commission of Hong Kong，and cooperate with follow-up inquiries、Supplementary and review procedures。
Against the backdrop of tightening regulatory scrutiny，The sooner companies sort out their business boundaries and compliance plans，The more conducive to reducing the cost of repeated communication during the application process。Especially asset management、An institution that has both securities trading and securities consulting businesses，It is also necessary to clarify the license combination before applying、Business permissions and staffing，Avoid unclear positioning affecting the approval progress。
Hong Kong Xintong Hong Kong No. 149 license agency service
The difficulty of applying for Hong Kong No. 149 license continues to increase，Professional early assessment and application planning are particularly critical。Hong Kong Xintong has been deeply involved in Hong Kong No. 149 license agency services for a long time，Familiar with Hong Kong No. 1、4Number、9Application conditions for license、Handling procedures and regulatory focus，And has a professional team based in Hong Kong，Provide license application for enterprises、Material preparation、Compliance architecture design and follow-up communication support。
If you need to know the conditions for applying for Hong Kong No. 149 license、Application process and application feasibility，Welcome to consult Hong Kong Information Communication：134-170-46218。We will combine the actual business model of the enterprise，Provide a more executable Hong Kong Securities and Futures Commission license application solution。
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。
