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香港1号牌照和4号牌照有什么区别

Financial card care question

香港1号牌照和4号牌照有什么区别 专理代理香港149牌照申请审批,Hong Kong Money Lenders License、金钱服务经营者牌照办理香港保险牌照申请专业服务成功案例多 香港1号牌照办理也叫证券交易牌照持有的公司或者个人能够具备供与股票以及各类资产交易的业务资格

香港4号牌照办理证券咨询牌照持有个人或企业能够利用相应的证券知识对证券投资者加以引导。 Hong Kong No. 9 license application:资产管理牌照能够为海外投资者打理证券或者是其他资产的项目如果单位持有任一牌照须有不少于两名的持牌人但是持有香港1.4.9号牌照的单位只要3个持牌人能够运作

7月26日中州证券(01375.HK)发布公告该公司香港子公司中州国际金融控股有限公司已于昨日获得4号牌照(证券咨询)而此前的7月19日其刚刚获得9号牌照(资产管理)

It is understood,由于香港金融牌照全部放开各大金融机构的竞争非常激烈能否在短期内拥有全部牌照从而更好地服务客户是衡量一家金融机构综合实力的重要标准

中州国际去年7月份取得1号牌照(经纪业务),9月份正式营业今年2月份完成对香港本土投行泛亚金融的收购成功拥有了6号牌照(投行业务)同时还取得了放债人牌照拥有了大力发展孖展股票质押和可转债投资等资本中介业务和保荐企业到香港主板创业板上市等投行业务的良好基础

此次取得4号和9号牌照后中州国际已拥有1、4、6、9和放债人牌照标志着其香港全牌照金融机构建设又向前迈了一大步。 It is reported that,中州国际上半年经营状况良好下半年随着资管等新业务的顺利开展其经营业绩有望进一步提升


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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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