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What are the requirements for a new application for Hong Kong No. 1 license?

Financial card care question

As domestic securities futures、asset Management、international trust、private equity firm,How to apply to the Hong Kong Securities and Futures Commission to successfully obtain these financial licenses,Comprehensively participate in international capital market investment,Expand the scope of investment targets,Enrich investors’ product choices;On the other hand, you can seize investment opportunities in overseas markets.,Improve the company's asset management capabilities and market competitiveness,Entering the ranks of international asset management companies。

How to apply for the Hong Kong No. 1 license that has been applied for frequently?,What are there

Require

  1. There must be at least two agency heads。The person in charge of the organization needs to have relevant industry qualification certificates or five years of experience in related industries.。
  2. Registered capital and working capital need to meet the corresponding Hong Kong No. 1 license application conditions

Require

  1. The company entity needs to be a Hong Kong company,or a foreign company registered with the Hong Kong Registrar。
  2. The company’s business structure must be good,Able to respond reasonably to risks and crises in the business operation process。
  3. Corresponding directors are required,Responsible personnel, etc.。

Enterprises holding Hong Kong License No. 1 can carry out financial activities related to securities trading,Can provide customers with buying and selling stocks and stock options,In other words, it can provide customers with brokerage services for stocks and stock options.;Can buy and sell bonds for clients;Can buy (sell) mutual funds and unit trust funds placing and reimbursing securities for clients。

Hong Kong Xintong International has ten years of experience in handling Hong Kong No. 1 licenses,Familiar with the application procedures for various financial licenses,Existing Hong Kong financial license No. 1-9 in hand,Comply with various exhibition industry demands,There are also reserve RO personnel,Can meet various demands of customers,Most mainland enterprises will choose to directly acquire the market to satisfy themselves based on their own circumstances.

Require

No. 1 plate,This can avoid many problems。For details on applying for Hong Kong No. 1 license, please consult Manager Peng Yi。


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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Picture of Lin Zixuan

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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