Similar to mainland financial regulatory logic，Engage in financial securities business in Hong Kong，企业或个人通常需要取得Hong Kong Securities and Futures Commission（Hong Kong Securities and Futures Commission license：Nine types of business scope and 149 combination application practice) corresponding financial license issued by。To ensure the orderly functioning of financial markets，Hong Kong implements strict licensing management for regulated activities，Business entities need to apply for corresponding qualifications based on specific business categories。
Licensing regulatory requirements for financial securities business in Hong Kong
Hong Kong has 12 types of regulated qualification licenses for relevant financial activities，Institutions or individuals engaged in corresponding business，You must apply for one or more licenses according to your business scope。in recent years，Hong Kong No. 1 plate acquisition：Responsible Personnel Qualifications and Transfer PracticesGradually becoming the compliance path that the market pays attention to，This trend is no accident。
Hong Kong No. 1 License Application Requirements、Fee structure and handling suggestionsis engaged inSecurities tradingImportant qualifications that individuals and companies should hold。Among the many license categories，1The number of license holders is relatively large：As of September 2016，The number of individual licenses reached 26,125，The number of licensed institutions is 1093。The permitted business scopes corresponding to different licenses are not the same.，Organizations that have obtained Hong Kong License No. 1，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。
Hong Kong No. 1 License Application Conditions and Acquisition Logic
Due to the strict approval process of the Hong Kong Securities Regulatory Commission,、Higher entry requirements，The acquisition of Hong Kong No. 1 license has become an important choice for many institutions to carry out securities trading-related businesses.。For companies that want to quickly enter regulated financial business areas，Acquiring the No. 1 license is equivalent to obtaining key compliance qualifications to enter the securities trading market.。
If you choose to directly apply for a new securities dealer license，Applicants need to meet a series of requirements from regulatory authorities，Including company registration in Hong Kong，and have sufficient financial capabilities，To cope with risks that may arise during business operations。In other words，Application for a license is not completed by simply submitting materials.，But the company structure、Capital strength、Comprehensive review of internal controls and compliance capabilities。
Qualification requirements for responsible personnel and difficulties in talent allocation
Whether it is the acquisition of Hong Kong No. 1 license，Or are you applying for a new license?，Supervision has very high qualification requirements for responsible personnel。For securities trading activities，Licensed institutions must appoint no less than two responsible officers，Direct supervision or ongoing supervision of relevant regulated activities；at the same time，At least one executive director approved by the Securities and Futures Commission of Hong Kong is required。
Such responsible persons usually need to pass relevant tests prescribed by the Securities and Futures Commission of Hong Kong，and have relevant experience and qualifications。on the current market，Talents that meet regulatory requirements and have experience in securities trading are relatively scarce.，This also makes companies face higher pressure on talent allocation when building a licensed structure.。
Business advantages of Hong Kong No. 1 license acquisition
Hong Kong as an international financial center，It has long been an important platform for mainland enterprises to expand overseas financial business.。Some large companies have also expressed the intention to hold brokerage licenses through acquisitions.、Intention to further expand financial business territory，The acquisition of Hong Kong No. 1 license is therefore favored by many companies。
For institutions interested in conducting securities trading business，Obtaining Hong Kong No. 1 license not only means having the compliance basis to enter the relevant market，It also helps to enhance the institution’s professional image and business undertaking capabilities in the international financial market.。In the course of business operation, the licensee or the licensed unit，You should continue to comply with the Securities and Futures Ordinance and other relevant provisions of Hong Kong，Form long-term competitive advantages based on compliance operations。
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。
