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Hong Kong 1、4号牌申请有什么要求?

Financial card care question

with new york、伦敦并列世界三大金融中心——香港是金融界的一片沃土很多国内金融公司都想在这片沃土上占据一席之地要在香港要开展金融业务要在香港进行证券交易活动让公司走出国门进入国际金融市场需要向证监会提出香港1、4号牌申请那香港1、4号牌申请有什么益处呢?

既可以就证券提供意见又可以在香港进行证券交易还能进一步巩固公司在香港股票市场的金融地位。Hong Kong 1、4号牌申请的益处就不一一列举了,Apply

Require

as follows:1.公司的股东(有在香港成立的公司在香港注册处注册的海外公司)

2.公司里有合适的业务架构良好的内部监控系统及有胜任能力并合资格的人员,Ability to face and handle risks in management business。3.The number of responsible persons shall not be less than two persons in charge,一名负责监督有关业务,One is from the Securities Regulatory Commission

Require

executive directors and must seek approval from the Securities and Futures Commission。

Hong Kong 1、4号牌申请有资本

Require

,They are as follows:一号牌、1.申请公司是核准的买卖商,Have working capital of more than HK$500,000

Require

。2.申请公司提供了证券保证金融资,Paid-up capital up to HK$10 million,Liquid capital up to HK$3 million。3.申请公司除以上1、2两种之外的其他情况,Paid-in capital is greater than HK$5 million,Liquid capital is greater than HK$3 million。

四号牌、1.Regulated management activities subject to licensing conditions that prohibit holding of client assets,流动资本要大于10万港元。2.除1以外的其他情况已经缴纳的资本要大于500万港元流动资本要大于300万港元

以上仅是香港1、4号牌申请一些基础的

Require

更详细的申请办理可联系香港金融牌照11年办理经验广东省内规模最大的香港金融牌照办理商,There are resources to quickly connect to the Hong Kong application office,lower than market price;香港1-10号牌全程托管一站式服务详情可联系,We will serve you wholeheartedly and attentively! Looking forward to working with you!


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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