Hong Kong Financial License No. 1469Usually involves the Securities and Futures Commission of Hong Kong (SFC)Category 1、Category 4、Category 6 andCategory 9regulated activities，Applicable to those planning to conduct securities transactions in Hong Kong、Securities investment opinions、Financial institutions with institutional financing advisory and asset management businesses。When applying for such a license，Enterprises need to be in the main body of the company、office space、Management team、Responsible person、Capital and bank accounts meet compliance requirements。
Basic requirements for applying for Hong Kong license No. 1469
- The applicant must be a limited company incorporated in Hong Kong，or a non-Hong Kong company registered with the Companies Registry。
- The company must have a physical office address in Hong Kong，And the office space must be a Grade A office building。
- Businesses need an experienced management team，to support company operations，and establish a clear business framework、internal monitoring system，and eligibleResponsible person（RO）。
- The business must have two licensees；In relation to the nationality of the licensed individual and responsible officer，The Securities and Futures Commission of Hong Kong does not have any restrictions or special requirements。
Responsible personnel and board of directors configuration requirements
To ensure that regulated businesses can be effectively supervised in Hong Kong，At least one responsible officer must be based in Hong Kong，Responsible for direct supervision of relevant business activities。
- At least one responsible person within the company must be a member of the board of directors。
- The configuration of responsible officers and licensed representatives should be consistent with the type of regulated business the enterprise intends to carry out、Match the business scale and internal control arrangements。
Registered capital、Liquidity and bank account requirements
When applying for Hong Kong financial license No. 1469，The company’s registered capital requirement is HKD 5 million；at the same time，The enterprise must continue to maintain paid-in share capital and liquid capital of no less than HKD 3 million.。
also，Applicants must open an account in a Hong Kong bank，to support subsequent capital verification、business operations、Client fund arrangement and compliance review needs。
Hong Kong financial licensemain business scope
Hong Kong Securities and Futures Commission licenses classified by type of regulated activity，Different licenses correspond to different business scopes。Before an enterprise applies for Hong Kong license No. 1469，It should be clear whether the business model matches the category to be applied for。
Category 1：Securities trading
- Provide clients with trading or brokerage services in stocks and stock options。
- Buy and sell bonds for clients。
- Buy or sell mutual funds and unit trust funds for clients。
- Engaged in the business of placing and underwriting securities。
Category 2：Futures contract trading
- Provide clients with trading or brokerage services in index or commodity futures。
- Buy or sell futures contracts for clients。
Category 3：Leveraged Forex Trading
- Conduct foreign exchange transactions for clients on margin basis。
Category 4：Advise on securities
- Providing investment advice to clients regarding the sale or purchase of securities。
- Issue research reports or analyzes on securities。
Category 5：Advising on futures contracts
- Provide investment advice to clients regarding selling or buying futures contracts。
- Issue research reports or analyzes regarding futures contracts。
Category 6：Advise on institutional financing
- Acting as sponsor for an initial public offering for a listing applicant。
- Regarding "Company Acquisition"、Providing advice on the Mergers and Share Buy-backs Code。
- Advising listed companies on Listing Rules compliance matters。
Category 7：Provide automated trading services
- An electronic trading platform that operates matching customer orders。
Category 8：Providing securities margin financing
- Provide financing to clients buying stocks，and use the client’s stocks as collateral。
Category 9：Provide asset management
- Manage securities or futures contract investment portfolios for clients on a discretionary basis。
- Manage funds on a discretionary basis。
Category 10：Providing credit rating services
- Just the company、Preparing reports on the creditworthiness of bonds and sovereigns。
Hong Kong License No. 4 and No. 9The value of cross-border asset management
Zhongcheng Yinxin has officially obtained the No. 4 and No. 9 licenses issued by the Hong Kong Securities and Futures Commission (SFC)。After obtaining such license，Institutions can provide clients with professional expertise based on a global perspective、Diversified cross-border asset management services。
Against the backdrop of continued growth in demand for cross-border wealth management and asset allocation，Licensed institutions can develop complete asset allocation plans based on the specific needs of customers，And by integrating the group’s high-quality resources、Connect domestic and overseas resources，Further enhance global asset management and wealth management service capabilities。
Hong Kong Xintong financial license application and transfer services
Hong Kong Xintong can assist companies to apply for various financial licenses，Including Hong Kong insurance broker license、Private equity fund license、insurance broker license、insurance agent license、Insurance adjuster license、Commercial factoring license、Financial leasing license、pawn shop license、Financing guarantee license、Small loan license、Pay license、Crowdfunding company license、Credit reporting license、Internet finance license and Hong Kong financial license No. 1469。
Except for new application services，Hong Kong Xintong can also provide various financial license transfer services，Assist enterprises with business planning、Compliance costs、Approval cycle and subsequent operational requirements，Choose a licensing path that is more suitable for your own development。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
