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Hong Kong Licensing Supervision and Licensing Ordinance No. 149,How do mainland companies apply?

Financial card care question

Shenzhen Pengyi Business Co., Ltd. specializes in handling various financial licenses and licenses,There are several No. 149 licenses available for transfer.,A friend in need, Peng Yi。149Applying for a license plate is a bit cumbersome,Registered capital,office space,In terms of personnel, the Securities and Futures Commission of Hong Kong has made it clear

Require

,Friends who want to apply for a new application are also responsible for applying for the No. 149 license.。

Hong Kong No. 149 license is reviewed and issued by the Hong Kong Securities Regulatory Commission,Holds No. 1、4Number、9Companies with licenses can trade in securities、securities、Asset management activities。Take license plate No. 1 as an example,Companies holding Hong Kong license No. 1 can provide stocks to customers、Stock options buying and selling (brokerage) services;Can buy and sell bonds for clients;Can buy or sell mutual funds and unit trust funds and other services for customers。

The application conditions for Hong Kong No. 149 license are still listed with the No. 1 license:

  1. Registered capital:The company is a securities trading company,The paid-up share capital is HK$10 million,The minimum amount of quick-frozen funds is HKD 500,000;(建议)
  2. Office address:You must have a real rental office address in Hong Kong,Area is not specified

Require

  1. bank account:Open a bank account in Hong Kong and deposit the required liquid capital;
  2. Personnel:Academic qualifications、Industry experience (3-6 years)、Management experience (more than 2 years)、Qualification examination (pass the Securities and Futures Practitioner Qualification Certification Examination);Application companies that meet the above conditions need to submit an application to the China Securities Regulatory Commission,Attached is the Securities Regulatory Commission form and other documents that need to be prepared.,The general application review time is 6 months。

The time span is relatively long,Apply

Require

Also relatively strict,Friends who need to apply can entrust Peng Yi to handle it.,Peng Yi can provide partial conditional support。In addition, several No. 149 license plates are being transferred.,If you need it, please contact us quickly.


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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