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香港149号牌申请条件香港149号牌办理流程

Financial card care question

The "black swan" at the beginning of 2020 has had a real impact on everyone's economy,Therefore, many people in the investment community are looking for ways to preserve the value of their assets.,Some people choose to buy a house among the vast number of ways online,Some people choose to start an online business,Others choose to operate conservatively,今天港信通团队带你了解一下香港149拍照:Hong Kong 1、4、9number plate

Application conditions

流程以及149牌照厉害在哪、Key issues such as how much it is worth are sorted out.,与大家一起揭开149牌照的神秘面纱

one,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。这个规矩我相信大家不用多说都懂的没有规矩不成方圆嘛!自沪港通之后,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,Use Hong Kong as a platform to attract international investors。The so-called 149 license,In fact, it’s Category 1、4Combination of Class 9 and Class 9 license plates。1、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.。

2、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。3、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.。相当于内地的私募基照

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,全面主动地参与国际市场投资,Provide global asset allocation and family wealth management consulting services to clients and high-net-worth individual clients。

two,149牌照申请的条件1、Must be a limited company incorporated in Hong Kong or a non-Hong Kong company registered with the Registrar。2、The company has an actual office address in Hong Kong (must be written as Class A)。3、Have an experienced management team to assist in running the company,business framework、Internal control system and qualified responsible personnel RO。

4、Must have two licensees,Nationality of licensed individuals and responsible persons,There are no restrictions or special regulations from the Securities Regulatory Commission。

Require

One less responsible officer must be based in Hong Kong,in order to directly supervise the relevant business。5、One less responsible person in the company must be a member of the board of directors。6、Registered capital of Hong Kong company

Require

50010,000 Hong Kong dollars;Must always maintain paid-in share capital and liquid capital of no less than HK$3 million。

Must open an account in a bank in Hong Kong。满足上面这一些条件之后在当地的相关部门就可以进行申请了或者也可以咨询港信通团队为您代办在商海的磋商中企业应该将更多的精力放在企业发展的方向此类证件申请办理的事务可以交友代办公司进行办理或者可以咨询港信通团队为您出让相应的资质。Related products:Hong Kong No. 149 plate

Application conditions


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 林子轩

林子轩

林子轩先生拥有 15 年的证券资产管理及投资银行经验曾在多家持牌金融机构担任高级合规负责人他精通香港证券及期货事务监察委员会 (SFC) 的监管要求成功主导过 SFC 第 1、4、9 类牌照(包括法人及个人负责人员 RO 牌照)的申请与年度维护他尤其擅长制定和执行财务资源规则 (FRR)、内部控制系统以及确保公司完全符合 SFC 在客户审查(KYC)和反洗钱(AML/CFT)方面的要求以满足严格的监管合规标准

擅长领域SFC 牌照(Type 1, 4, 9)申请及维护RO/MIC 审批内部控制制度客户资产规则 (FRR)、KYC/反洗钱政策

曾任职机构国际投行持牌证券交易公司资产管理公司

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