As mainland enterprises continue to develop，More and more industrial groups、Companies and cross-border investment institutions planning to be listed in Hong Kong，start toHong Kong financial licenseIncorporate into strategic layout。Hong Kong Securities and Futures Commission licenseNot only is it an important compliance qualification for entering the international capital market，It is also a company that conducts securities transactions、Investment consulting、Key foundations of asset management and fund business。
In Hong Kong’s financial licensing system，Category 9 asset management license is usually the starting point for enterprises to enter the asset management business。Regulators will consider the size of the company、business model、Capital strength、Comprehensive assessment of staffing and operational capabilities，Therefore, there are also actual differences between "big brands" and "small brands" in license plates.；Type 1 licenses also have different levels of application difficulty depending on their business scope and regulatory requirements.。If an enterprise needs to systematically evaluate the type and path of licenses it is suitable to apply for,，May beGXT-HKProvide professional compliance consulting and solution design。
Hong Kong No. 1、4Number、9Business positioning of license plate
The Securities and Futures Commission of Hong Kong classifies regulated activities in accordance with the Securities and Futures Ordinance。in，Category 1、Category 4、Class 9 licenseCorresponds to the following business licenses respectively:：
- Class 1 license：Securities trading business license；
- Class 4 license：Advise on securities，That is, securities investment consulting business license；
- Class 9 license：Provide asset management services，Can be used to carry out asset management and fund product issuance and other related businesses。
After the enterprise holds the above license，That is to say, it has the foundation to carry out relevant financial business in Hong Kong in compliance with regulations.，Can further participate in overseas investment、Raise and manage overseas funds，and promote the linkage of domestic and foreign resources，Build a more complete cross-border investment and asset management business system。
Apply for Hong Kong No. 1、4Number、9Core conditions for number plates
Apply for Hong Kong Securities and Futures Commission license，Enterprises need to focus on preparing funds、Three aspects of personnel and office space conditions。These three factors directly affect the regulatory agency’s assessment of the company’s ability to continue operating、Judgment of compliance management capabilities and license value realization capabilities。
- Funding requirements：Type 9 license usually requires a paid registered capital of HKD 5 million.；If an enterprise plans to apply for a higher business scope、Regulatory requirements for more comprehensive “big names”，The capital size usually needs to reach 8 million to 10 million Hong Kong dollars。Financial strength is an important reference for regulatory agencies to judge whether an enterprise can operate the licensed business stably.。Enterprises also need to fully consider the actual arrangements for mainland enterprises’ overseas investment and capital outbound quotas.，Make financial plans in advance。
- Licensed PersonnelRequire：To apply for a Hong Kong Securities and Futures Commission license, you must have a qualified licensee。Number of years of practice of the licensee、Professional background and past experience，Will directly reflect the company's business management capabilities。Normally，Professionals with about 10 years of relevant licensed experience，Have the ability to simultaneously be responsible for Category 1、Category 4、Possibility of Category 9 license；If the licensee is inexperienced，May only be responsible for one type of license。therefore，The allocation of licensed personnel is a key link in the success or failure of the application.。
- Office space requirements：Enterprises need to have actual office space in Hong Kong。Hong Kong office space is limited by land resources，Different from the common area requirements in the Mainland，The focus of supervision is whether it is true、Operable office conditions。Generally speaking，An office space of approximately 30 square meters or more can be used as a reference for basic configuration.，Specific arrangements still need to be made based on business scale and compliance requirements.。
Ready-made No. 1、4Number、9Number plate resources and processing efficiency
Hong Kong Information Communication can currently help enterprises understand the ready-made Category 1 companies controlled by the same company.、Category 4、Class 9 license resources。For those who want to shorten the layout cycle、For enterprises that improve processing efficiency，Ready-made license resources can be used as an alternative to applying for new licenses.。
Regardless of whether an enterprise chooses to apply for a new license，Or evaluate existing license resources?，The status of the license should be scrutinized、holding structure、Licensed Personnel、Business scope、Historical compliance records、Funding arrangements and subsequent operating costs，Avoid unnecessary regulatory risks during the transaction or application process。
Category 1、Category 4、Commercial value of Category 9 licenses
recently，Unimutual Consultant Limited ("Unimutual Credit Suisse"), a subsidiary of Sunflower Capital, has officially obtained the Type 1 license issued by the Hong Kong Securities Regulatory Commission.、Category 4、Class 9 license。This combination of licenses means that companies can trade in securities、Form a more complete closed business loop in the fields of securities investment consulting and asset management。
For companies planning to expand into global capital markets，Category 1、Category 4、Type 9 license has the meaning of "pass"。Not only can enterprises participate in overseas investment more directly,，Can also raise and manage overseas funds，Opening up domestic and overseas capital allocation scenarios，To establish a more comprehensive cross-border financial service system。
Hong Kong Xintong’s professional handling suggestions
Hong Kong Securities and Futures Commission license applicationNot just submitting information，It is a shareholding structure that covers、Proof of funds、Licensed Personnel、business plan、internal control system、System engineering of office space and supervisory communication。Before the company starts the application，You should first complete the sorting out of your own business model，and clearly apply for Category 1、Category 4、Specific uses of Class 9 licenses、Income sources and subsequent operational arrangements。
Hong Kong Xintong can be based on the actual situation of the enterprise，Assist in evaluating license application pathways、Capital allocation、Arrangement of licensees and preparation of compliance materials，Help enterprises improve processing efficiency，and promote Hong Kong’s financial license layout in a more secure manner。
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。
