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Hong Kong No. 149 License Transfer - Conditions for No. 149 License

Financial card care question

彭易专业办理香港149号牌照,There are currently several ready-made No. 149 license plates available for transfer.,有需要单位朋友彭易。To apply for Hong Kong No. 149 license, you need to submit an application to the Hong Kong Securities Regulatory Commission.。First, let’s understand what the regulated activities of No. 149 that we often mention refer to.。1Number plate refers to securities trading,4License refers to providing advice on securities,即证券投资牌照;9The regulated activity of license plate is to provide asset management。

many securities、futures、private placement、trust、Asset management companies want to broaden investment scope in international capital markets,Improve market competitiveness and company strength。Enterprises that have obtained a license from the Hong Kong Securities and Futures Commission can provide financial products and services such as securities funds to domestic and foreign institutions.。This should be the reason why many investors want to hold a Hong Kong license。具体的相关149号牌照的办理条件是什么呢?

For example, to apply for Hong Kong No. 9 license, you need to hold 5 million Hong Kong dollars in client assets.,Not holding 1 million Hong Kong dollars,No need to collect customer funds to register 120,000 yuan;In terms of personnel, two No. 9 licensees are required;Have an actual office rental address in Hong Kong;The major shareholder has a financial background,Sufficient assets,No bad record。You need to submit your company’s business plan when applying,As well as materials such as resumes and backgrounds of major shareholders。The application time is generally 6 months。

The above processing

Require

,The application conditions can show the value of Hong Kong’s 9 best licenses.,In addition, the processing time is as long as half a year.,It’s a bit difficult to handle。想办理149号牌照的朋友彭易.如果朋友们想尽快持有香港149号牌照,You might as well consider buying a ready-made No. 149 plate,Friends in need please contact us as soon as possible。


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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