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Analysis of difficulties in applying for Hong Kong No. 149 license

Financial card care question

Hong Kong 149 license is a license required to engage in securities activities in Hong Kong,Among the top ten brokerage licenses,The number of Hong Kong 149 license holders and demand are relatively large.。But the purpose of each number plate is different,The applicant clearly understands the purpose of these three types of licenses,Can better carry out the Hong Kong No. 149 license application work。

At present, as the Hong Kong Securities Regulatory Commission tightens supervision,,Difficulties in applying for Hong Kong No. 149 license have increased,Organizations and individuals who can successfully apply,To a certain extent, it is a manifestation of strength。Hong Kong No. 149 license application,Let’s start with Hong Kong License No. 1,Hong Kong License No. 1 is a qualification issued by the China Securities Regulatory Commission to engage in securities trading activities.。with it,Applicants can provide individuals with the purchase and sale of stocks or stock options、Brokerage and other help。

At present, Hong Kong No. 1 license is the largest number of Hong Kong No. 149 licenses held.,As of September last year,The total number of individuals and entities holding Hong Kong No. 1 license reached 27,218。

——————And Hong Kong License No. 4,Generally it plays a supplementary role to the Hong Kong No. 1 license,It is an existence that serves as a guide for securities investment.,Units with Hong Kong license No. 4 are equivalent to having relevant knowledge about securities.,Utilize securities knowledge reserves to provide investors with securities opinions。

Hong Kong No. 4 license needs to pass the relevant tests of the Hong Kong Securities Regulatory Commission,Will be issued after passing,Units must not intentionally mislead investors.,In the process of applying for Hong Kong license No. 149,4Number plates are the type held by the largest number of individuals。

The Hong Kong license No. 9 is currently sought after by mainland private equity management funds.,Belongs to asset management license,Can provide asset management services to individuals,Mainland private equity management funds want to use Hong Kong’s No. 9 license to attract capital inflows from international investors,Open up international markets,At present, the private equity units that have successfully handled the Hong Kong No. 9 license in my country include Jingtai Lifeng Assets.、ivy assets、Tianma Assets, etc.。

————————The application process for Hong Kong No. 149 license is no simpler than applying for a domestic license.。First, it is necessary to have more than two Hong Kong licensed persons in charge,The person in charge needs to have a capital market performance record of 3 to 5 years,and must undergo a series of relevant tests and qualification reviews,Applicants who are not familiar with the policies of the Securities and Futures Commission of Hong Kong,There are also many people who are considering entrusting the processing。

The largest professional organization for handling Hong Kong No. 149 license in Guangdong Province,Ten years of focus on Hong Kong financial license application,Long-term business dealings in Hong Kong,There are a large number of professional licensees to connect with。To cater to investors’ desire to quickly launch a business

Require

,I now have Hong Kong financial license number 1-9 in hand.,Complete the corresponding changes,Analysis of difficulties in applying for Hong Kong No. 149 license and welcome further communication。


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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