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香港149号牌照作用

Financial card care question

详细介绍港信通彭易Aaron说香港149号牌照作用为什么香港证监会

  1. 9牌照重要从分类上看香港金融牌照被分成了10大类分别对应了不同的业务类型。Hongkong
  2. 9牌照其实就是香港证监会旗下的第1类、Combination of Class 4 and Class 9 licenses。

获得149牌照需经过一系列严格的资格审查通常获得香港149金融牌照的企业也反映出了该金融机构是一家合规且有实力的机构。1Class license,i.e. securities trading license,Only obtained a Class 1 license,You can only engage in providing securities transactions for clients in Hong Kong、Brokerage services, etc.。It is equivalent to mainland securities companies providing stock trading services to clients.。

4Class license,i.e. license to advise on securities,Only obtained a Category 4 license,Only then can you provide clients with securities investment advice in Hong Kong,Publish relevant research reports。9Class license,Provide asset management license,Only obtained a Category 9 license,Only then can you issue funds in Hong Kong,Manage client funds, etc.。Equivalent to mainland private equity license。央行曾不止一次发声“凡是搞金融的都要持牌经营纳入监管要实现监管全覆盖”

金融业是特许经营的行业业务的开展不论是机构还是个人均需要持有相应的牌照而香港连接了几乎全球的金融市场自然成了海外业务拓展重要的一站如何获取香港金融牌照便是这一站的重要起点综合以上几点我们可以得知在办理香港149号牌照的时候需要准备非常大量的资料

而在申请的时候还需要重重审批流程所以企业需要香港149号牌照的时候可以咨询港信通国际进行办理港信通国际在深圳有十三年的商务服务经验对于香港149号牌照申请拥有很多的成功案例。Familiar with the industrial and commercial process of Hong Kong No. 149 license,Prepare clear preliminary information。Merchants who need qualifications please consult Hong Kong Xintong International as soon as possible。


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Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong 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

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Lin Zixuan

Owned by Mr. Lin Zixuan 15 year securities、Asset management and investment banking experience,Served as senior compliance officer in several licensed financial institutions。He is well versed in the Hong Kong Securities and Futures Commission (SFC) regulatory requirements,Successfully dominated the SFC 1st 1、4、9 Application and annual maintenance of licenses (including RO licenses for legal persons and individuals)。He is particularly skilled in developing and enforcing financial resource rules (FRR)、internal control system,as well as ensuring that the company is fully compliant with the SFC’s requirements in terms of customer vetting (KYC) and anti-money laundering (AML/CFT),To meet strict regulatory compliance standards。

Areas of expertise:SFC license (Type 1, 4, 9) Application and maintenance、RO/MIC Approval、internal control system、Client Asset Rules (FRR)、KYC/Anti-Money Laundering Policy

Previous institutions:international investment bank、Licensed securities trading company、asset management company

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