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Hong Kong Stock Exchange:Hong Kong Financial Licensing Regulation No. 149

Financial card care question

One-stop application for Hong Kong financial license。For customers who already have a Hong Kong company background,It is more economical to apply for Hong Kong No. 149 license than to acquire it directly.

cost

。But if mainland companies want to obtain Hong Kong license plate 149,,Choosing transfer and acquisition is a good choice。

Analysis on the transfer case of Hong Kong No. 149 plate by Peng Yi International’s client,There are mainly the following points that need to be paid attention to and understood clearly::1,Although the name is all plate number 149,But actually,Hong Kong No. 19 cards are divided into big and small.。Big 1 is a brokerage firm,But Xiao 1 is the introducer。Big 9 can hold clients’ assets,But Xiao 9 cannot hold customer assets。

When making an acquisition,Must understand clearly,Never buy a small-brand Hong Kong company at a big-brand price。2,When making an acquisition,Documents proving the source of funds for shareholders need to be re-provided,Including the previous year’s turnover,Statements for various types of financial products。It is necessary to prove that the shareholder’s assets are not less than HKD 5 million.。

3,Materials for personnel changes and company changes need to be submitted to the Hong Kong Securities and Futures Commission,That is SFC,Review by the China Securities Regulatory Commission regarding acquisitions and shareholder background。4,As of the end of December 2017,There are 1,247 companies holding No. 1 license in Hong Kong,There are 1,291 companies holding license No. 4,There are 1,477 companies holding Hong Kong license No. 9。Among them, some have relatively heavy assets.,The transfer price will also be correspondingly higher.。

There are also licenses that were just obtained last year,Haven’t started any business yet。The type of acquisition depends on the specifics of the acquirer.

Require

Got it。Peng Yi International has strong operational capabilities and rich experience in handling Hong Kong financial license applications and has 500+ cases of new Hong Kong financial license applications and acquisitions.。at the same time,In order to allow applicants to conduct financial business in Hong Kong faster, multiple Hong Kong financial licenses No. 149 are available for direct transfer.。

Hong Kong No. 149 plate

transfer process

,Hong Kong Securities Exchange,Securities information,Asset management license transfer time,Hong Kong No. 149 plate transfer price。Peng Yi International has the correct answer。The electrical connection method depends on the name.。One-stop application for Hong Kong financial license。


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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