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What is the specific significance of Hong Kong license number 149?

Financial card care question

Hong Kong Xintong Peng Yi Aaron said that when applying for Hong Kong license No. 149, you can first consult Hong Kong Xintong International,Understand clearly whether the business you need includes the business you are involved in。At present, it seems that many applicants still do not have a high degree of compatibility between the scope of their business and the license.。

Therefore, Hong Kong Xintong International briefly summarizes the following points based on past handling experience.:1Provide clients with investment advice on selling or buying futures contracts2 Issue research reports or analyzes on futures contractsNo.6:Advising on institutional financing 1 Acting as sponsor for an initial public offering for a listing applicant 2 Advising on the Corporate Acquisition、Advising on mergers and share buy-backs code 3 Advising listed companies on compliance matters under the Listing Rules No. 7:No. 8, an electronic trading platform that provides automated trading services to match customer orders.:Provide securities margin financing to customers who buy stocks and use the customer's stocks as collateral 9Plate:Provide asset management. Manage securities or futures contract investment portfolios for clients on a discretionary basis. Manage funds on a discretionary basis. What is the use of Hong Kong’s No. 6 license?

Which brokerage holds license No. 6? Hong Kong's License No. 6 allows you to serve as a sponsor for initial public offerings for listing applicants.。These are the companies that went to Hong Kong for IPOs.,There will always be a sponsor,Can help investors judge whether a listed company is worth participating in the subscription。Members of Aide Holding Group hold 6 licenses。

Hong Kong Xintong International reminds you that a financial license refers to a financial license,It is a legal document issued by the Banking Regulatory Commission in accordance with the law for chartered financial institutions to operate financial businesses.。The financial licenses that require approval in my country mainly include banks、Insurance、trust、Brokerage firm、financial leasing、futures、fund、Fund subsidiaries、Fund sales、Third-party payment license、small loan、12 types of pawns。

If you are in need of the above qualifications,You can consult Hong Kong Xintong International for processing.。Related products:What is the specific significance of Hong Kong license number 149?


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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