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。Hong Kong financial license classifications 1-9 and
Application conditions
Summary No. 4 license is a license approved by the Hong Kong Securities and Futures Commission to provide securities investment consulting services.。
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。
Practical Application of Licensed Regulated Activities Category 1 Securities trading: Providing trading/brokerage services for stocks and stock options for 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 trading: Providing trading/brokerage services for index or commodity futures; Buying/selling futures contracts for clients; Category 3: Leveraged foreign exchange trading; Conducting foreign exchange transactions for clients on margin; Category 4: Category 5: Providing advice on securities Providing clients with investment advice on selling/purchasing securities Issuing research reports/analyses on securities Category 5: Providing advice on futures contracts Providing clients with investment advice on selling/buying futures contracts Issuing research reports/analysis on futures contracts Category 6: Providing advice on institutional financing Acting as a sponsor for an initial public offering for a listing applicant In connection with the Corporate Acquisition、"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、Preparation Report No. 1 on the Credit Reliability of Bonds and Sovereigns：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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