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What are the channels for applying for securities dealer licenses in Hong Kong 1.4.9_

Financial card care question

Hongkong

  1. 9牌照是目前香港十大券商牌照里面最为抢手的牌照资源,After the Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect were launched successively,,Hongkong
  2. 9牌照办理更是呈现出大的需求更多的内地企业想通过申请香港
  3. 9牌照来和国际市场接轨,Seeking a broader development platform。内地人要申请香港
  4. 9券商牌照办理一般找到委托代办

Hong Kong 1.4.9 license application is to operate securities transactions、securities、Hong Kong license resources for asset management,All are reviewed and approved by the Securities and Futures Commission of Hong Kong.。So,Let’s analyze the expansion of these three licenses respectively.。

first,Hong Kong License No. 1,Qualifications required by enterprises engaged in securities trading activities,It has more holders than the other nine categories,一般会和香港4号牌照——证券连带申请,To improve the company's service sector,broker a deal。

————侯————香港4号牌照办理即证券类的经营资质,Generally, it is to make relevant suggestions to clients regarding securities.,And the suggestions made must have reliable reference,Therefore, the Securities Regulatory Commission

Require

Practitioners need to pass relevant tests,To screen out staff qualified to provide securities opinions,Practitioners shall not intentionally mislead clients into purchasing securities.,Otherwise, it will be investigated and handled according to relevant laws and regulations.。

And Hong Kong License No. 9,作为资产管理类牌照是内地私募机构布局的重点对象。Industry insiders believe,9The license is indeed one of the mainstream ways for large domestic private equity companies to go overseas.。Many private equity management funds intend to use Hong Kong as a platform for international investor capital inflows. Looking back at the processing situation of Hong Kong’s No. 9 license last year,A total of 165 institutions have obtained Hong Kong No. 9 licenses from the Hong Kong Securities and Futures Commission.。

But in recent years,The difficulty of applying for Hong Kong’s No. 9 license is also increasing.,The steps are also more complicated,Therefore, many people are considering agency or acquisition channels.。————Hou————Mainland companies are not familiar with the policies of the Hong Kong Securities Regulatory Commission,There are many cases where people run into obstacles because of jumping into the process.,So I went round and round and found an agent.。

代办香港

  1. 9牌照多年从业经验,A professional team based in Hong Kong is responsible for handling、follow up,Maintain long-term communication with the approval department,Ability to accurately grasp policy trends in Hong Kong。If time is taken into consideration,Applicants can also choose acquisition channels to develop their business.。Hongkong
  2. 9券商牌照办理

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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