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What is the function of Hong Kong No. 149 plate and how much does it cost to buy one?

Financial card care question

Hong Kong No. 149 plate,This is a popular saying,Generally, what people want more is the combination of No. 149 plates.,Therefore, in a broad sense, Hong Kong financial licenses include licenses No. 1 to No. 10 issued by the Securities and Futures Commission.,There is also a licensing system in Hong Kong,Somewhat similar to mainland China,So if you want to do anything in the relevant direction in Hong Kong, you must have the corresponding license.。

1号牌就是做证券交易的4号牌就是做投资的9号牌就是做资产管理的。Generally, there will be more companies in mainland China that require these three cards.。

Seller of the transferred company HK SFC brand 100% Equity sale information transfer price premium 1×00Million holding license 1 (securities) Dealing securities4 (investment advisor) Advising on securities 及9 (Fund management) Asset management辦公室 香港區 買方與賣方傾談其後的租約安排股東人數 Shareholder 兩名負責人員 2 ROs responsible officer salary / RO salary The total monthly salary of the two responsible officers is HK$120K. Responsible officer/RO stay The two responsible officers can stay on during the transition period. 3-6 個月及買方需付兩名負責人員的每月薪金共 HK$120K每月盈/虧 P/L 少量虧損財務報表日 2018放售原因:Plans change,Price matching sale transaction conditions

  1. After confirming the transaction conditions,The buyer and seller need to sign a sales contract
  2. After the buyer pays a 30% deposit to the seller,Due diligence can be carried out
  3. If after accepting the due diligence results,The buyer regrets the contract/cannot make the purchase for any reason in the future
  4. Pay 30% of the second installment deposit and submit application form to SFC
  5. After receiving approval from SFC,Pay balance of transfer price (40%),Complete the transaction and interpret Hong Kong’s new regulatory regulations as soon as possible if necessary.:The exchange is expected to obtain a legal license on November 1,The Hong Kong Securities and Futures Commission announced on its official website a management company for virtual asset investment portfolios、Statement on the regulatory framework for fund distributors and trading platform operators。

This regulatory framework and statement,Clarified regulatory guidelines for virtual asset portfolio management companies and fund distributors,clear management、Funds that distribute and invest in virtual assets are required to be licensed and supervised。In addition, it also explores sandbox supervision for digital asset trading platform operators.。The sandbox supervision of virtual asset trading platforms will be divided into two stages,The second phase takes at least 12 months。


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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