Similar to mainland financial regulatory logic，If an enterprise or individual plans to engage in financial securities business in Hong Kong，Usually it is necessary to obtain the corresponding financial license issued by the Hong Kong Securities and Futures Commission。To achieve more effective market supervision，Hong Kong Securities and Futures Commission要求从事相关金融活动的主体，Apply for corresponding licenses among the 12 types of regulated activity licenses according to specific business types。in recent years，Hong Kong No. 1 License AcquisitionGradually become the entry of enterprisesSecurities tradingImportant paths in business areas。
香港1号牌照的业务定位与市场需求
Hong Kong License No. 1 is an important qualification required for individuals and companies engaged in securities trading.。Among the various types of regulated licenses in Hong Kong，1The market base for license plates is relatively broad。The number of individual licenses reached 26,125 in September 2016，There are 1,093 licensed institutions，Reflecting the important position of securities trading activities in Hong Kong’s financial market。
The permitted business scopes corresponding to different licenses are not the same.。After obtaining or acquiring Hong Kong License No. 1，Relevant units can provide investors with buying and selling stocks and stock options、Buy and sell bonds、Services such as buying and selling mutual funds and trust funds。therefore，For plans to expand securities trading、For companies engaged in wealth management and related capital markets businesses，Hong Kong License No. 1 has clear commercial value。
Core requirements for new applications for Hong Kong Type 1 license
The Securities and Futures Commission of Hong Kong has strict approval procedures for financial license applications.，Especially in terms of business qualifications、Company structure、There are high requirements in terms of financial capabilities and staffing。Because of this，The acquisition of Hong Kong No. 1 license has become one of the main channels for many institutions to carry out securities trading-related businesses.，Essentially an important way to gain access to regulated activities。
If you choose to directly apply for a new securities dealer license，Applicants usually need to meet a series of basic requirements，including but not limited to：
- Register a company in Hong Kong；
- Have sufficient financial resources，To cope with the risks that may arise during the operation of securities trading business；
- Establish corporate governance that complies with regulatory requirements、Internal control and compliance arrangements；
- Equipped with equipment that meets the requirements of the Securities and Futures Commission of Hong KongHong Kong License No. 1 Application：Requirements from the person in charge、Capital Allocation and Process Key Pointsand managers。
负责人员与执行董事的监管要求
Whether you are newly applying for Hong Kong No. 1 license，Or obtain relevant licensed entities through acquisitions?，Regulatory agencies have higher requirements for the qualifications of responsible personnel。For securities trading activities，Licensed institutions must appoint no less than two responsible officers，direct or ongoing supervision of relevant regulated activities；at the same time，Also requires at least one executive director approved by the Securities and Futures Commission of Hong Kong。
Such core personnel usually need to pass the qualification test prescribed by the Hong Kong Securities and Futures Commission，And have corresponding industry experience and competencies。However，There is a relative shortage of qualified professionals in the market，It also enables enterprises to apply for or undertake Hong Kong No. 1 license，Team configuration and compliance structure must be planned in advance。
The strategic value and compliance advantages of Hong Kong No. 1 license acquisition
The acquisition of Hong Kong No. 1 license is favored by many companies，no accident。For those who want to quickly enter the securities trading business、For companies that are expanding their financial sector or building overseas capital market platforms，Acquisition of existing licensed entities usually has higher time efficiency and resource integration value。
Directors of Legend Holdings once mentioned，Interested in holding a brokerage license through acquisition，to expand its financial sector。This also reflects the importance that large enterprises attach to Hong Kong’s securities license resources.。Relying on Hong Kong’s market position as an international financial center，Mainland enterprises can use Hong Kong as an important stage for overseas business expansion，Enhance cross-border financial service capabilities through licensed operations。
What needs to be emphasized is，In the process of conducting business, the licensee or the licensed unit，Must continue to comply with the Securities and Futures Ordinance and other relevant laws and regulations in Hong Kong。Only in business development、internal control、Customer asset protection、Maintain high standards in information disclosure and compliance operations，Only then can enterprises truly form long-term competitive advantages。
About Hong Kong Xintong
GXT-HKComposed of professional teams from mainland China and Hong Kong，Focus on providing global company registration、Financial license application、Bank account opening、One-stop cross-border services such as tax financial planning and compliance consulting，Core covers Hong Kong MSO license、Hong Kong Insurance Brokers and Hong Kong Money Lenders Licenses、US MSB license、Hong Kong 149 license、9license plate，Helping enterprises to go overseas efficiently and compliantly，Steady global layout。
