Hong Kong financial license 1、4、9What is the license plate?
Class 1 license：Securities trading license 1、Provide customers with trading/brokerage services for stocks and stock options2、Buy and sell bonds for clients 3、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。
Din cube，Buy with sell，Information required for gold uptrend stack Hong Kong No. 149 financial license application Applicants for Hong Kong financial licenses should provide the following information to the Monetary Authority： The name or title to be used; Detailed description of the nature of actual or proposed business activities; The time and place at which the relevant business will be or is being carried on; Date and place of incorporation; A copy of the company’s currently adopted memorandum and articles of association(copy); A copy of the most recent audited accounts and annual report(copy); Provide independent assurance reports(If the applicant intends to operate a regulated business，Dennet available); Business plan for the first three years of the branch or subsidiary to be established in Hong Kong(if needed); Major shareholders、Names and addresses of directors and chief executive; Company address and telephone/fax number; and any other required data。
Professional application for Hong Kong No. 149 financial license，Hong Kong Xintong International professional agency registration company，Efficient、Excellent service，Welcome to consult。
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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。
