Hong Kong’s financial license classification，The most popular financial license is 1、2、4、6、9Number，Hong Kong Securities Regulatory Commission’s application for different types of licenses
Require
There is a difference，The difficulty of applying for a license is also different.。Hong Kong Securities and Futures Commission regulations，Applying for a license requires 2 Hong Kong licensed responsible persons，The licensed responsible person needs to have 3 to 5 years of continuous public performance records in the capital market and must pass a series of rigorous examinations and qualification reviews.。
at the same time，Enterprises also
Require
Have a physical office address in Hong Kong，Have an experienced management team to assist in running the company。generally，Obtain an independent Hong Kong financial license，It is an endorsement of a company’s strength。
No. 1: Securities Trading； No. 2: Futures Contract Trading；No. 3: Leveraged Foreign Exchange Trading；No. 4: Advising on Securities； No. 5: Advising on futures contracts； No. 6: Advising on corporate finance；No. 7: Providing automated trading services； No. 8: Providing Securities Margin Financing；No. 9: Provision of asset management；(Amended by L.N. 28 of 2011) No. 10: Provision of credit rating services。
(Supplemented by L.N. 28 of 2011)The Hong Kong market implements a financial license management system,Financial institutions can conduct stock trading at the same time、financial derivatives、Trading in foreign exchange and gold。The most popular No. 9 license is the Type 9 regulated business qualification license issued by the Securities and Futures Ordinance of Hong Kong.,i.e. asset management license。
Hold this license,It means obtaining a "pass" in the international capital market,Not only can you directly participate in overseas investments,,It can also manage and utilize funds from overseas investors。4No. 1 license is a license approved by the Hong Kong Securities and Futures Commission to provide securities investment consulting services.。
As domestic securities futures、asset Management、international trust、private equity firm,How to apply to the Hong Kong Securities and Futures Commission to successfully obtain these financial licenses,Comprehensively participate in international capital market investment,Expand the scope of investment targets,Enrich investors’ product choices;On the other hand, you can seize investment opportunities in overseas markets.,Improve the company's asset management capabilities and market competitiveness,Entering the ranks of international asset management companies。
After receiving the financial license from the Securities and Futures Commission of Hong Kong,Companies will be eligible to offer shares to domestic and foreign institutions、fund、Various financial products and services such as bonds。Leverage the Hong Kong capital market platform,Not only can we develop more products such as overseas real estate or stock funds,,We can also launch value-added services such as investment immigration and investment consulting.,Provide more diversified services to high net worth clients。Hong Kong financial license classification from 1 to 9,The difficulty of applying for various types of licenses is also different.。
Such as Hong Kong Asset Management License No. 9
Application conditions
,Hong Kong Securities and Futures Commission regulations,Requires 2 Hong Kong licensed responsible persons,The licensed responsible person needs to have 3-5 years of continuous public performance records in the capital market and must pass a series of rigorous examinations and qualification reviews.。at the same time,Enterprises also
Require
Have a physical office address in Hong Kong,Have an experienced management team to assist in running the company。
generally,Obtained an independent Hong Kong asset management license No. 9,It is an endorsement of a company’s strength。 The company applying for a license must have at least two senior executives responsible for company management.，and appoint one of them as executive director。Applicant company and its executives、Employees and shareholders must comply with the fit and proper principles stipulated by the Securities and Futures Commission of Hong Kong。
The Hong Kong Securities Regulatory Commission will assess the applicant’s solvency and financial status、Educational and other qualifications、Relevant experience in the proposed business、Ability to conduct regulated business activities with integrity and fairness、Assess the company's reputation and financial soundness。 supervision
Require
：Licensed companies must always maintain paid-in share capital and liquid capital not less than the minimum capital
Require
。Licensees holding client funds must open an account with a bank in Hong Kong。Client funds must be stored in isolation。
All licensees must retain financial solvency and financial standing、Financial Education Overview、Records related to internal compliance and internal control systems。All licensees must maintain reasonable financial records in accordance with internationally recognized accounting standards，Submit monthly report、Quarterly and annual reports。All companies must disclose financial reports to the public。”
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