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办理香港149号牌照的条件流程以及费用

Financial card care question

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。

Domestic private equity institutions 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 attract funds from overseas investors。沪港通已经开通对于海外资金而言A股部分股票的低估值有着一定的吸引力越来越多的国际投资者开始关注A股。At present, No. 9 license plate has become the most popular type of license for many mainland institutions.。

如何办理香港金融149号牌照?handle、转让香港149号牌照的条件流程以及

cost

?如何办理香港金融149号牌照?handle、转让香港149号牌照的条件流程以及

cost

?那么具体情况是怎么样子的呢?下面小编为大家做一些介绍

申请香港证监会9号牌照一般的发牌

Require

:The SFC will only issue licenses to applicants who meet the fit and proper criteria(include companies or people)And will evaluate whether the applicant is a suitable candidate from the following aspects::a)Financial condition and solvency;b)Academic or other qualifications and experience,and considerations in this regard must have regard to the nature of the functions proposed to be performed by the applicant;c)Are you capable of doing your job competently?、conduct relevant regulated activities honestly and fairly;d)Reputation、character、Reliability and financial soundness。

Note:Licensed corporations and individuals affiliated with licensed corporations must comply with other legal requirements including immigration and taxation。香港金融149号牌照办理、transfer,Hong Kong License No. 149

Application conditions

、process、

cost

?深圳专注于各类工商服务,Including various company registrations,Financial license application,会计服务专业团队一站式服务为您省心省钱


About Hong Kong Xintong

Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong 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

Editing of articles in this issue:

Picture of Lin Zixuan

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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