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What are the application requirements for Hong Kong financial licenses No. 1 to 9?

Financial card care question

If your company has financial business in Hong Kong,You still need to hold a Hong Kong financial license numbered 1 to 9.,When applying for Hong Kong licenses No. 1 to 9, you can consult Hong Kong Xintong International,The following are several aspects that need to be met when applying for a license::

  1. It must be a company registered in Hong Kong and have a company address for on-site operations.
  2. The company has normal business operations,good architecture。Have sufficient ability to resist risks。
  3. For each type of regulated activity applied for,Two less responsible officers must be appointed to directly supervise the relevant activities。
  4. For each type of regulated activity applied for,There is at least one responsible person who can supervise the relevant operations at all times
  5. Among the responsible personnel planned to be appointed by the organization,At least one person must be from the China Securities Regulatory Commission

Require

Executive Director under 6、All executive directors of an institution must seek approval from the Securities and Futures Commission,To become a responsible officer of a corporate body under the above provisions of Responsible Officer,Their competency must also pass the test prescribed by the China Securities Regulatory Commission.。

Therefore, companies applying for financial licenses must have corresponding professionals.,In these applications, certain qualifications and familiarity with the operating procedures are required。In these aspects, you can consult Hong Kong Xintong International for processing! Related products:Hong Kong financial license number 1 to 9

Application conditions

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About Hong Kong Xintong

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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