at present，depreciation of the renminbi、The country is facing an asset shortage、Against the backdrop of tighter domestic regulation，Mainland institutions are increasingly interested in investing overseas，More and more private equity institutions have also begun to enter the Hong Kong market，Intending to introduce overseas investors by obtaining a Hong Kong license。
Compared with mainland financial licenses
Application conditions
more harsh，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，This kind of
Advantages
，This has become the main reason why mainland capital is optimistic about the value of Hong Kong’s financial license.。Hong Kong financial license 1、4、9What is the license plate?
Class 1 license：证券交易牌照
- 为客户提供股票及股票期权的买卖/经纪服务
- Buy and sell bonds for clients
- Purchasing/selling mutual funds and unit trust funds for placing and underwriting securities for clients：It is used to provide various services for securities trading to customers.，Such as providing stock and option trading services；Ability to buy and sell bonds for clients、Functions such as buying and selling mutual funds，It is the one with the largest number of individuals and entities among the 9 types of licenses.。
Apply
Require
：It depends on whether you hold client assets to operate funds，Generally, the difficulty of applying for a license to hold assets is different from that of a license not to hold assets.。
1 License plates are divided into major 1 He Xiao 1 introduces and guides investors to securities firms，Collect commissions - No. 1 license (commonly known as "small No. 1 license") becomes a securities dealer，To carry out securities trading and capital allocation business - the No. 1 license (commonly known as the "Big No. 1 license" is equivalent to a domestic securities firm), the No. 1 license (securities brokerage) can hold customer assets.：Placing、Debt issuance、financial advisor、Stock trading、stock options、FIT trading、online trading、It’s just like a normal domestic securities firm.。
Class IV license：Securities advisory license purpose：It’s a consulting license，Units holding such licenses，Can give investors some appropriate investment advice，Generally to facilitate securities transactions，Hong Kong No. 4 license will be applied for together with Hong Kong No. 1 license。Apply
Require
：Register a Hong Kong company，Configure a corporate structure appropriate to the company's business scale，2RO above the name，Can be used with 1、9License holders of licenses overlap。
Category 9 license：An asset management license is used to manage securities or futures contract investment portfolios for customers on a discretionary basis and to manage funds on a discretionary basis.：Able to help overseas customers manage assets，It is a type of Hong Kong financial license sought after by large mainland private equity institutions.。
Among the many investors who inquire about the Hong Kong No. 149 license agency，Many are looking for companies with RO，But actually，If the company also holds a 149 license，Only 3 ROs are needed，Can be shared across individual posts,那香港149号牌办理需要什么条件？下面详细分析
Application conditions
：one. Incorporated：Must be a company incorporated in Hong Kong or an overseas company registered with the Hong Kong Companies Registry。
two. Competence：You must satisfy the SFC that you have a suitable business structure、Good internal control system and qualified personnel，Sufficient to ensure that when you conduct your proposed business as detailed in your business plan，Ability to appropriately manage risks that may be faced。three. Responsible person：For each type of regulated activity applied for，必须委任最少两名负责人员直接监督你拟进行的有关活动。
- For each type of regulated activity applied for，必须有最少一名负责人员可以时刻监督有关业务。As long as the appointee is a suitable candidate and the relevant arrangements do not create role conflicts，The same person can be appointed as a responsible officer for more than one type of regulated activity。
- Among the responsible officers to be appointed，最少要有一名是《证券及期货条例》所定义的执行董事。
- All executive directors must seek approval from the Securities and Futures Commission，to become a responsible officer of you as a corporation。
- When submitting your license application，Submit all approval applications for all proposed responsible officers to the SFC together，for consideration by the Securities and Futures Commission。四．高级管理层：primary responsibility，is to ensure that you maintain appropriate standards of conduct and follow appropriate procedures。
- The Securities Regulatory Commission believes that，The senior management of a licensed corporation includes (in addition to other members)：(a) directors of corporation，(b) Responsible officer of the corporation(c) people we call core functional leaders。2 .The above three categories of positions can be held by one person at the same time。
- When applying for a license，Information about your core functional leaders and organizational chart are required。
- The management structure of a licensed corporation (including the appointment of core functional managers) should be approved by the corporation’s board of directors。also，The board of directors should ensure that each core functional officer of the licensed corporation has agreed to accept his or her appointment as a core functional officer，and the specific core functions for which they are primarily responsible。
- 发牌后，若核心职能主管有任何变更，需要在更改发生后的七个营业日内将更改的详情通知证监会。
at the same time，一并提交更新后的组织架构图。五．大股东、高级人员及其他有关人士须具备适当人选的资格。六．财政资源：在任何时候都必须就你所申请获发牌照的受规管活动类别，Maintain your paid-up share capital and liquid capital at no less than the Securities and Futures (financial resources)the relevant amount specified in the Rules。
If you apply for more than one type of regulated activity，The minimum paid-up share capital and liquid capital you should maintain，The highest of the prescribed amounts for regulated activities that you apply for will be used。有需要香港149号牌照的朋友，欢迎咨询
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
