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、买入及沽出互惠基金等功能是9类牌照中持有个人和单位数最多的一个。
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号牌照又分为大1和小1介绍和导流投资者给券商，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：证券牌照用途：是类牌照，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.：能够帮助海外客户管理资产是内地大型私募机构追捧的一类香港金融牌照。
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，黄金升势堆栈香港149号金融牌照申请所需资料香港金融牌照申请人应向金融管理专员提供下述资料：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;公司地址及/传真号码;and any other required data。
Professional application for Hong Kong No. 149 financial license，专业代办理注册公司，Efficient、Excellent service，欢迎你。
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。
