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What are the uses of Hong Kong License No. 149?,149Legal transfer of license plate

Financial card care question

There are ten major categories of securities dealer licenses in Hong Kong,Want to start different financial businesses in Hong Kong,You need to apply to the China Securities Regulatory Commission for different types of financial licenses,This article will focus on analyzing license plate No. 149。Friends who have learned about it should have found that the threshold for applying for a Hong Kong license is quite high.,In other words, the strength of companies that can apply for Hong Kong licenses cannot be underestimated.,Invisibly, the Hong Kong license provides brand promotion for the company。

Investors who want to apply for the No. 149 license please contact Manager Peng Yi of Houyu International for details.

Process

Conditions and other matters,In addition, we currently have a ready-made No. 149 license plate available for transfer.,Friends in need please contact China-Hong Kong Financial Card Care and ask Peng Yi。

Enterprises holding Hong Kong License No. 1 can carry out financial activities related to securities trading,Can provide customers with buying and selling stocks and stock options,In other words, it can provide customers with brokerage services for stocks and stock options.;Can buy and sell bonds for clients;Can buy (sell) mutual funds and unit trust funds placing and reimbursing securities for clients。Hong Kong No. 1 license is mainly applied for by securities companies.。

Companies holding Hong Kong license No. 4 can provide advice on securities,Hong Kong No. 4 license is mainly applied for by securities consulting companies.,After obtaining the No. 4 license, the company can provide customers with investment advice on selling or buying securities.,Provide clients with research reports and data analysis on securities,In other words, companies that apply for the No. 4 license provide investment advice to friends who buy and sell securities.。

————————————————————Hong Kong No. 9 license is required for asset management companies to apply for。After the company holds the No. 9 license, it can provide customers with asset management。Generally, securities or futures contract investment portfolios are managed for clients on a discretionary basis.,Or manage the fund on a discretionary basis。

Among the conditions for applying for Hong Kong No. 149 license, registered capital is a high threshold that needs to be crossed.,minimum paid-in capital

Require

Need to be above HKD 5 million,working capital

Require

It varies depending on the actual business scope.。Want to know more about Hong Kong License No. 149

Process

and conditions,Please contact China-Hong Kong Financial Brand Care and ask Manager Peng Yi Peng Yi:.There are also ready-made resources available for transfer,Friends, please hurry up if you want to buy。


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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