149What exactly is a license plate? in Hong Kong，The China Securities Regulatory Commission manages 10 types of licenses，Each type of license corresponds to a business。To engage in corresponding business，You must obtain the corresponding license。Since Shanghai-Hong Kong Stock Connect，More and more mainland management institutions are beginning to enter the Hong Kong market，Introduce overseas investors by setting up a company in Hong Kong。It is understood，Many private equity management funds are interested in applying for licenses in Hong Kong，Using Hong Kong as a platform to attract investors。
at present，The most popular financial license is 1、2、4、6、9Number，Hong Kong Securities Regulatory Commission’s application for different types of licenses
Require
There is a difference，The difficulty of applying for a license is also different.。Let’s take a look at the practical applications of the ten major types of financial licenses in Hong Kong。
Practical applications of Hong Kong's top ten financial licenses Licensed regulated activities Practical applications Category 1 securities trading Providing trading/brokerage services in stocks and stock options to clients Buying and selling bonds for clients Buying/selling mutual funds and unit trust funds Placing and underwriting securities Category 2 futures contract trading Providing clients with trading/broking services in index or commodity futures Buying/selling futures contracts to clients Category 3 leveraged foreign exchange trading in the form of margin Category 4: Providing advice on securities to clients; Providing clients with investment advice on selling/purchasing securities; Issue research reports/analyses on securities; Category 5: Providing advice on futures contracts; Providing clients with investment advice on selling/buying futures contracts; Category 6: Providing advice on institutional financing; Acting as a sponsor for an initial public offering for a listing applicant; on "Corporate Acquisition"、"Code on Mergers and Share Repurchases" Providing advice to listed companies on compliance matters under the Listing Rules Category 7 Providing automated trading services and operating electronic trading platforms that match customer orders Category 8 Providing securities margin financing Providing financing to customers who buy stocks and using the customers' stocks as collateral Category 9 Providing asset management Managing securities or futures contract investment portfolios for customers on a discretionary basis Managing funds on a discretionary basis Category 10 Providing credit rating services to companies、Preparation of reports on the creditworthiness of bonds and sovereigns so-called 149 license，In fact, it’s Category 1、4Combination of Class 9 and Class 9 license plates。
- 1Class 1 license，i.e. securities trading license，Only obtained a Class 1 license，You can only engage in providing securities transactions for clients in Hong Kong、Brokerage services, etc.。It is equivalent to mainland securities companies providing stock trading services to clients.。
- 4Class 4 license，i.e. license to advise on securities，Only obtained a Category 4 license，Only then can you provide clients with securities investment advice in Hong Kong，Publish relevant research reports。
- 9Class license Class 9 license，Provide asset management license，Only obtained a Category 9 license，Only then can you issue funds in Hong Kong，Manage client funds, etc.。Equivalent to Mainland China’s private equity fund license。Because these 3 license plates are a set of combo punches，so，Most companies will apply for these three licenses at the same time。
Get No. 1、4Number、9After the blessing of license plate，Can take advantage of the license business of Guocai Assets
Advantages
，Further expand the scope of overseas investment targets，Enrich investors’ product choices，Comprehensively and actively participate in market investment，Provide global asset allocation and family wealth management consulting services to clients and high-net-worth individual clients。
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。
