The Hong Kong Securities and Futures 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。table below，Introducing various types of license plates and their corresponding functions!
Licensed Regulated Activities Category 1 securities trading · Providing trading/brokerage services in stocks and stock options to clients · Buying and selling bonds for clients · Buying/selling mutual funds and unit trust funds for clients · Placing and underwriting securities Category 2 futures contract transactions · Providing clients with trading/broking services in index or commodity futures · Buying/selling futures contracts for clients Category 3 leveraged foreign exchange trading · Carrying out foreign exchange for clients on margin Trading and Trading Category 4: Providing advice on securities·Providing investment advice to clients on selling/purchasing securities·Issuing research reports/analyses on securities Category 5: Providing advice on selling/buying futures contracts·Providing investment advice on selling/buying futures contracts·Issuing research reports/analyses on futures contracts Category 6: Providing advice on corporate finance、Provide advice on mergers and share repurchases code · Advise listed companies on compliance matters under the Listing Rules Category 7 Provides automated trading services · Operate electronic trading platforms that match customer orders Category 8 Provides securities margin financing · Providing financing to clients who buy stocks and uses the clients’ stocks as collateral Category 9 Provides asset management · Manages securities or futures contract investment portfolios for clients on a discretionary basis · Manages funds on a discretionary basis Category 10 Provides credit rating services · Provides credit rating services to companies、So says the report prepared on the creditworthiness of bonds and sovereigns，The so-called 149 license，In fact, it’s Category 1、4Combination of Class 9 and Class 9 license plates。
- 1Class 1 license，i.e. securities trading license，Only obtained a Class 1 license，You can only engage in providing securities transactions for clients in Hong Kong、Brokerage services, etc.。It is equivalent to mainland securities companies providing stock trading services to clients.。
- 4Class 4 license，i.e. license to advise on securities，Only obtained a Category 4 license，Only then can you provide clients with securities investment advice in Hong Kong，Publish relevant research reports。
- 9Class license Class 9 license，Provide asset management license，Only obtained a Category 9 license，Only then can you issue funds in Hong Kong，Manage client funds, etc.。Equivalent to Mainland China’s private equity fund license。Because these 3 license plates are a set of combo punches，so，Most companies will apply for these three licenses at the same time。According to current market conditions，Acquired a Hong Kong company with 149 license，Nearly 100 million yuan is needed!
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