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Revealed! Analysis of Hong Kong No. 149 plate

Financial card care question

Shenzhen Gangxintong International Business Co., Ltd.,Mainly operating Hong Kong insurance brokerage company、Hong Kong 1-9 financial license、Hong Kong Money Lender License;Domestic charitable foundations、School license、Dangerous goods operation/road transport license 、Security service license、pawn shop、auction house、License plates in China and Hong Kong、Hong Kong-Zhuhai-Macao Bridge license plate、Entry and Exit International Travel Agency Qualification、Construction labor qualification、Drug business license、Medical Beauty Institution ICP、Wenwangwen。

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Hong Kong as a major offshore and non-offshore center for Asia’s financial markets,Regardless of the maturity of the regulatory framework、The perfection of the public trading market and the richness of financial products, etc.,are at the forefront of the international financial market,It is the preferred platform for international investors to invest in Asia。

Development of Hong Kong’s financial markets,With the evolution of the entire society in Hong Kong,Gradually grow into a highly open、A developed financial market with many characteristics such as liquidity and complete supervision,It is one of the international financial centers,The Hong Kong market is bound to welcome more participation from investors from around the world. Currently,depreciation of the renminbi、The country is facing an asset shortage、Against the backdrop of tighter domestic regulation,Mainland institutions are increasingly interested in investing overseas,More and more private equity institutions have also begun to enter the Hong Kong market,Intending to introduce overseas investors by obtaining a Hong Kong license。

Compared with mainland financial licenses

Application conditions

more harsh,Hong Kong as a major offshore and non-offshore center for Asia’s financial markets,Regardless of the maturity of the regulatory framework、The perfection of the public trading market and the richness of financial products, etc.,are at the forefront of the international financial market,This kind of

Advantages

,This has become the main reason why mainland capital is optimistic about the value of Hong Kong’s financial license.。 What exactly is a Hong Kong financial license?,What is the charm that attracts one mainland private equity firm after another?

Hong Kong financial license

Application conditions

、What’s so great about the process and license plates?、Key issues such as how much it is worth are sorted out.,Let’s unveil the mystery of Hong Kong’s financial licenses with everyone。 First, let me introduce to you the classification of Hong Kong financial licenses.:in Hong Kong,The China Securities Regulatory Commission manages 10 types of licenses,Each type of license corresponds to a business。To engage in corresponding business,You must obtain the corresponding license。

Since Shanghai-Hong Kong Stock Connect,More and more mainland management institutions are beginning to enter the Hong Kong market,Introduce overseas investors by setting up a company in Hong Kong。It is understood,Many private equity management funds are interested in applying for licenses in Hong Kong,Use Hong Kong as a platform to attract international investors。

1number plate:Securities trading

  1. Provide customers with trading/brokerage services for stocks and stock options
  2. Buy and sell bonds for clients
  3. Buying/selling mutual funds and unit trust funds for clients, placing and underwriting Securities No. 2:Futures contract trading
  4. Provide customers with trading of index or commodity futures
  5. Providing clients with index or commodity futures brokerage services
  6. Buy or sell futures contracts No. 3 for clients:Leveraged foreign exchange trading uses margin trading to conduct foreign exchange transactions for customers No. 4:Advise on securities
  7. Providing investment advice to clients regarding the sale or purchase of securities
  8. Issue research reports or analysis on securities No. 5:Advising on futures contracts
  9. Provide investment advice to clients regarding selling or buying futures contracts
  10. Issue research reports or analysis on futures contracts No. 6:Advise on institutional financing
  11. Acting as sponsor for an initial public offering for a listing applicant
  12. Regarding "Company Acquisition"、Advising on mergers and share buy-backs code 3 Advising listed companies on compliance matters under the Listing Rules No. 7:No. 8, an electronic trading platform that provides automated trading services to match customer orders.:Provide securities margin financing to customers who buy stocks and use the customer's stocks as collateral 9Plate:Provide asset management, manage securities or futures contract investment portfolios for clients on a discretionary basis, and manage funds on a discretionary basis. Proportion of nine licenses (institutions):Capital of nine licenses

Require

:If an organization wants to apply to become a licensed corporation,Need to meet a series of

Require

  1. A company incorporated in Hong Kong or a non-Hong Kong company registered with the Hong Kong Companies Registry
  2. The company has a suitable business structure、Good internal control system and qualified personnel,Ability to manage risks that may be faced in the business
  3. For each type of regulated activity applied for,At least two responsible officers must be appointed to directly supervise the relevant activities。
  4. For each type of regulated activity applied for,最少有一名负责人员可以时刻监督有关业务
  5. Among the responsible personnel planned to be appointed by the organization,At least one of them must be from the China Securities Regulatory Commission

Require

Executive Director under 6、All executive directors of an institution must seek approval from the Securities and Futures Commission,To become a responsible officer for organizations that want to apply for a Hong Kong financial license,There are generally two ways to apply,One is to set up a subsidiary in Hong Kong,The second is to acquire a company that has successfully applied for the corresponding license.。

Generally, larger mainland private equity institutions will choose to set up subsidiaries in Hong Kong to obtain Hong Kong financial licenses.,In this way, on the one hand, the names of Hong Kong subsidiaries and mainland private equity institutions can be consistent or similar.,Conducive to the promotion and inheritance of the brand,on the other hand,Since acquiring a Hong Kong company that has successfully applied for a license also requires a series of applications and preparation of required materials,The time cost is basically the same as that of setting up a subsidiary.。

Our company can provide new application services for Hong Kong financial companies,Current license transfer service,Various 149/49 combination license plates options。(


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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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