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Hong Kong No. 1 License Application Requirements、Fee structure and handling suggestions

香港1号牌照费用说明
香港1号牌照证监会监管框架
Hong Kong License No. 1 is a regulated activity related to securities trading,Before applying, you should confirm your business model and regulatory scope.。

Hong Kong No. 1 license application conditions and procedures

The enterprise intends to carry out business related to Type 1 regulated activities in Hong Kong,应在RO、Funding arrangements and Hong Kong company entities are in place.,TowardsHong Kong financial license application requirements、Capital requirements and business scope analysisSubmit a license application。We usually start from the subject qualifications、Staffing、Assist enterprises in pre-assessment in terms of financial status, compliance reputation, etc.,To improve the completeness and approval efficiency of applications。

  1. Conditional supplement:Our RO、funds、After Hong Kong companies are ready,Available toHong Kong Securities and Futures Commission提出香港1号牌照申请
  2. Submit materials:Submit materials related to application conditions to the accepting department,Make a formal application。
  3. review stage:The Securities and Futures Commission of Hong Kong mainly looks at the financial situation of enterprises、Personnel qualifications、Review credit status and other aspects。
  4. License issuance:Eligible units,Hong Kong No. 1 license will be issued by the Hong Kong Securities and Futures Commission。

Hong Kong No. 1 license fee structure

The processing fee for Hong Kong No. 1 license is affected by many factors,One of the key differences is whether it involves holding investor assets。Distinguish by business operation method,Usually can be divided into "big 1 card" and "small 1 card":Big 1 cards can hold investor assets,Small 1 card cannot hold investor assets。Comprehensive application requirements、From the perspective of compliance configuration and subsequent operational arrangements,The processing fee for the big 1 card is usually higher than the small 1 card。

香港1号牌照金融市场环境
Hong Kong’s financial market environment and trading business arrangements will affect the organization and compliance preparation for Hong Kong No. 1 license application。

Hong Kong financial license application and transfer support

Hong Kong Xintong has strong practical capabilities and rich experience in applying for Hong Kong financial licenses,Completed 1,000+ new Hong Kong financial license applications and acquisition and transfer cases。To help companies develop Hong Kong financial business faster,We can also provide multiple high-quality Hong Kong financial license resources for direct transfer options。

We focus on providing customers with industrial and commercial finance and taxation、Qualification agency、Hong Kong, Zhuhai and Macao license plates、One-stop service including license plate processing in both places,Thousands of successful cases have been accumulated。If an enterprise needs to evaluate Hong Kong No. 1 license application、Acquisition or transfer plan,You can further consult the Hong Kong Information Communications Consulting Team,We will provide you with professional、Prudent and efficient compliance support。


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。

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connect:Hong Kong Information Communications Consultant

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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Hong Kong and Chinese team · Senior financial compliance experts