Hong Kong financial license classification and
Application process
，How to officially obtain No. 1 from the Hong Kong Securities and Futures Commission、2Number、4Number、6No. 9 financial license,How to become a Hong Kong financial institution with international asset management business qualifications and securities investment consulting service qualifications，Today, the editor uses the Internet to sort out and summarize mainland companies' applications for financial licenses in Hong Kong.，If there are any deficiencies or errors，Welcome to leave comments and corrections。
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。The Hong Kong market implements a financial license management system,Financial institutions can conduct stock trading at the same time、financial derivatives、Trading in foreign exchange and gold。
9The license is a Type 9 regulated business qualification license issued by the Securities and Futures Ordinance of Hong Kong.,i.e. asset management license。Hold this license,It means obtaining a "pass" in the international capital market,Not only can you directly participate in overseas investments,,It can also manage and utilize funds from overseas investors。香港1-9号金融牌照分类及
Application conditions
汇总4号牌照是香港证监会批准机构提供证券投资咨询服务的牌照。
As domestic securities futures、asset Management、international trust、private equity firm,How to apply to the Hong Kong Securities and Futures Commission to successfully obtain these financial licenses,Comprehensively participate in international capital market investment,Expand the scope of investment targets,Enrich investors’ product choices;On the other hand, you can seize investment opportunities in overseas markets.,Improve the company's asset management capabilities and market competitiveness,Entering the ranks of international asset management companies。
After receiving the financial license from the Securities and Futures Commission of Hong Kong,Companies will be eligible to offer shares to domestic and foreign institutions、fund、Various financial products and services such as bonds。Leverage the Hong Kong capital market platform,Not only can we develop more products such as overseas real estate or stock funds,,We can also launch value-added services such as investment immigration and investment consulting.,Provide more diversified services to high net worth clients。Hong Kong financial license classification from 1 to 9,The difficulty of applying for various types of licenses is also different.。
Such as Hong Kong Asset Management License No. 9
Application conditions
,Hong Kong Securities and Futures Commission regulations,Requires 2 Hong Kong licensed responsible persons,The licensed responsible person needs to have 3-5 years of continuous public performance records in the capital market and must pass a series of rigorous examinations and qualification reviews.。at the same time,Enterprises also
Require
Have a physical office address in Hong Kong,Have an experienced management team to assist in running the company。
generally,Obtained an independent Hong Kong asset management license No. 9,It is an endorsement of a company’s strength。
牌照受规管活动现实应用第一类 证券交易为客户提供股票及股票期权的买卖／经纪服务为客户买卖债券为客户买入／沽出互惠基金及单位信托基金配售及包销证券第二类期货合约交易为客户提供指数或商品期货的买卖／经纪服务为客户买入／沽出期货合约第三类杠杆式外汇交易以孖展形式为客户进行外汇交易买卖第四类就证券提供意见向客户提供有关沽出／买入证券的投资意见发出有关证券的研究报告／分析第五类就期货合约提供意见向客户提供有关沽出／买入期货合约的投资意见发出有关期货合约的研究报告／分析第六类就机构融资提供意见为上市申请人担任首次公开招股的保荐人就《公司收购、"Code on Mergers and Share Repurchases" Providing advice to listed companies on compliance matters under the Listing Rules Category 7 Providing automated trading services and operating electronic trading platforms that match customer orders Category 8 Providing securities margin financing Providing financing to customers who buy stocks and using the customers' stocks as collateral Category 9 Providing asset management Managing securities or futures contract investment portfolios for customers on a discretionary basis Managing funds on a discretionary basis Category 10 Providing credit rating services to companies、债券及主权国的信用可靠性拟备报告1号牌：Securities trading 1. Providing trading/brokerage services for stocks and stock options 2. Buying and selling bonds for clients 3. Buying/selling mutual funds and unit trust funds for clients Placing and underwriting securities No. 2：Futures contract trading 1. Provide customers with the buying and selling of index or commodity futures 2. Provide customers with index or commodity futures brokerage services 3. Buy or sell futures contracts for customers 3.：Leveraged foreign exchange trading uses margin trading to conduct foreign exchange transactions for customers No. 4：Providing advice on securities 1. Providing investment advice to clients on selling or buying securities 2. Issue research reports or analyzes on securities No. 5：Provide advice on futures contracts 1. Provide investment advice to clients on selling or buying futures contracts 2. Issue research reports or analyzes on futures contracts No. 6：Advising on institutional financing 1 Acting as sponsor for an initial public offering for a listing applicant 2 Advising on the Corporate 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.
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