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What should you pay attention to when applying for Hong Kong No. 149 plate?

Financial card care question

According to the Hong Kong Securities Regulatory Commission’s statistics on licensed companies holding Hong Kong financial licenses,As of December 2017,The total number of licensed companies in Hong Kong reaches 4892。The number of Hong Kong No. 149 license plates processed accounted for 82.07%,Hong Kong No. 1 plate 1247 stores、Hong Kong No. 4 plate 1291 stores、Hong Kong No. 9 plate 1477 stores。This shows how popular Hong Kong’s No. 149 license plate processing is.。

After all, Hong Kong is the leading international financial center,Domestic financial companies all want to occupy their own place in the industry。Hong Kong SFC in 2017,9A total of 177 license plates were issued,Therefore, when applying for Hong Kong No. 149 plate, you need to pay attention to the application standards of Hong Kong SFC.,If you know what you need to pay attention to when applying for Hong Kong No. 149 plate, you can avoid many problems that may arise during the application process.。

Hong Kong financial license professional processing for 11 years,Familiar with the procedures and systems of the Hong Kong Office,Commission free。The following are the points that we need to pay attention to when handling Hong Kong No. 149 license plate.:one、Hong Kong financial license application is governed by regulations,The application for Hong Kong No. 149 plate must be at the following two levels::1.Institutions and companies engaged in financial activities need to hold a license;2.Employees working in institutions and companies engaged in financial activities also need to hold a license。

A license is required to engage in regulated activities,It also needs to be operated by corresponding licensed personnel.,For example, the company has Hong Kong license plate No. 149,Employees in the company must also obtain corresponding licenses。two、There are two types of licenses for practitioners::1.represent;2.Responsible person,In fact, he is what we call the risk control officer every day.,If the company has a Hong Kong financial license,At least 2 responsible persons must be hired,And the person in charge cannot hold concurrent posts at the same time。

Especially important is the issue of compliance,There are many financial regulations in Hong Kong,Be very familiar with the local laws of Hong Kong,Hong Kong No. 149 plate application will be much smoother。If you violate SFC regulations in Hong Kong,There may be civil or criminal penalties,Depends on the severity of the violation,The company and responsible personnel will also be held responsible respectively.。

Therefore, many financial institutions or companies will choose professional institutions to apply for Hong Kong financial licenses.,It can be processed quickly and avoid many problems that may arise during the processing process.。11 years of experience in professionally handling Hong Kong financial licenses,Familiar with the procedures of the Hong Kong office、laws and institutions。A ready-made Hong Kong financial license is available for transfer,20% below market price,The only commission-free processing agency in China。

Full custody one-stop service has been successfully handled for more than 500 cases (including well-known domestic and foreign securities companies)、bank、Investment companies with strong capital, etc.)。Contact us for details of Hong Kong No. 149 plate application。We will serve you wholeheartedly!


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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