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申请香港149号金融牌照的条件和办理流程

Financial card care question

one、香港1号牌照香港1号牌照有大小之分大牌是券商能够为客户提供证券产品买卖的服务小牌是中间商和介绍人只能推荐客户到券商处购买证券产品SFC下发的香港1号牌照(含大牌和小牌)一共有一千多个从03年到现在也就仅仅增加了四五百个可见香港1号牌照申请难度还是比较高的

很多企业会考虑委托一个办理机构去申请或者直接收购一个现成的香港1号牌照。two、香港4号牌照香港4号牌照并非与交易直接相关的金融牌照香港4号牌照是一个交易咨询类型的牌照这个很像内地的投资咨询公司资产管理咨询公司内地没有一个单独的咨询牌照

但是在香港如果要为投资者人提供这种咨询服务那么同样需要拿到这样一个金融牌照。Generally speaking,4号牌照和1号、9号香港金融牌照会搭配使用因为这样既能够为客户提供交易服务同时也能够提供咨询服务。4号牌照的数量不少同样有一千多个

three、香港9号牌照香港9号牌照又称为香港资产管理牌照,2017年最火的应该就数这个牌照了一整年下来有一百多家机构完成了香港9号牌照申请其中有很多都是由内地的私募机构获取的尤其是一些比较知名的私募机构

以上内容简单介绍了下什么是149号牌照主要是做哪些业务的大家有所了解后可根据公司自身的需求可以单独申请1号牌、9number plate,或者是搭配申请一起申请都是可以的那申请149号牌照需要提供哪些资料呢?如下:1,成立一家香港公司或者到香港注册处完成境外公司登记

2,拥有合适的公司业务架构良好的监控系统能够应对经营过程中出现的业务风险。3,拥有至少两名或以上持有香港相应个人牌照的持牌人员。4,根据经营范围需要符合注册资金和流动资金的最低

Require

5,有实际的办公场地办公设备在国内人民币贬值、Domestic financial transactions are strictly regulated,Many domestic financial companies have turned to Hong Kong to enter financial transactions.,It can not only open up the international market but also attract more rational investors from abroad.。What's more important is investing globally in Hong Kong,Interest、Financing interest rates are lower than domestic thresholds。Funds can be freely allocated to global markets without capital controls。

故近两年来香港149号牌办理是金融界的一大火热浪潮如果有需要申请香港金融牌照的内地老板们详情可来电咨询港信通彭易经理


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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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