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Hong Kong 149 license transfer-Hong Kong Securities Regulatory Commission license processing-Legal consultation

Financial card care question

The private equity boom continues,Many private equity institutions have begun to enter the Hong Kong market,Want to attract overseas investors,Realize overseas asset allocation。The Hong Kong No. 9 (asset management) license is basically one of the main ways for domestic private equity to finance overseas resources.。In fact, Hong Kong license No. 9 is not that easy to obtain.,The official review time is 6 months,plus queuing time,Application preparation time, etc.,The time for the new application cannot actually be determined.。

Therefore, many companies will think of buying ready-made No. 9 plates.。Peng Yi currently has No. 149 plates available for transfer.,If you are in need, please call. First, I will briefly explain the number 9 plate to my friends.,Companies holding No. 9 license plates can provide stocks to domestic and foreign institutions、fund、Bond and other investment portfolio management services。According to the clear provisions of the Securities and Futures Ordinance promulgated by the Hong Kong Securities and Futures Commission,Want to carry out regulated activities,You must hold a Hong Kong license issued by the Securities and Futures Commission of Hong Kong。

Conditions that companies applying for Hong Kong No. 9 license need to meet,The applicant company must be incorporated in Hong Kong or be an overseas corporation registered with the Companies Registry.;Good financial condition and solvency,The paid-up capital is not less than HKD 5 million,Quick-frozen funds shall not be less than 3 million Hong Kong dollars (if no client assets are held,The minimum liquid capital is HKD 100,000);At least two responsible persons;The business applicant must have an appropriate business structure,Good internal control system,Company personnel have certain qualifications and experience;Have actual business premises in Hong Kong。

————————————————Hong Kong No. 149 license requires submission of application materials to the Hong Kong Securities Regulatory Commission,Measures for Hong Kong license after the Hong Kong Securities Regulatory Commission’s review and verification。Want to apply for Hong Kong No. 149 license?,Investors who want to buy ready-made Hong Kong licenses please contact Peng Yi.


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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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