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How to apply for Hong Kong license No. 149,What are the processing fees and functions?

Financial card care question

Everyone knows that the Hong Kong market implements a financial license management system,What kind of financial activities does an individual or unit engage in?,Need to apply for the corresponding business qualification license,Hong Kong license No. 149 is a widely used three types of licenses,Separately have securities trading、Securities consulting、Asset management and other functions,How to apply for Hong Kong No. 149 license?,I believe this is an aspect that mainland investors are very concerned about.。

Hong Kong License No. 1 and License No. 4 are necessary qualification licenses to open a securities company in Hong Kong.,Got license number 1,The company can provide investors with trading services for stocks and stock options,The Type 4 license allows you to provide professional investment advice on the securities purchased.,Facilitate securities transactions。Hong Kong’s No. 9 license is of great significance for mainland funds to go overseas。

Recently,Ask me how to apply for Hong Kong No. 149 license,handle

cost

The number of inquiries has increased significantly,The following will focus on the matters related to the Hong Kong No. 149 license:,Answers to common questions。 What are the requirements for applying for Hong Kong No. 149 license?

Different types of licenses actually require different applications.

Require

,But basically all three types of 149 licenses need to meet the basic conditions of 2 licensees.、Have a Hong Kong company or overseas corporation、Have a suitable business organization and good financial standing。If you are applying for Hong Kong license No. 149 as an individual,,

Require

Be a graduate of a specific degree,Possess relevant professional experience,Have a professional qualification recognized by the Securities and Futures Commission of Hong Kong。

What is the approximate market price for Hong Kong No. 149 license? Because of market competition,The price difference is huge,Prices ranging from one million to tens of millions are involved,But different prices correspond to different license combinations.,For example, Big 1 and Small 1 license plates,The small No. 1 plate is mainly used to attract customers to securities companies.,Those who do not have the business qualifications for securities trading themselves,Therefore, the gold content is not higher than that of No. 1 brand.。

How to find a suitable person in charge for Hong Kong No. 149 license application? A licensed responsible person in Hong Kong is equivalent to a risk control officer in the Mainland,Hereinafter referred to as RO,Each type of license requires 2 ROs to be responsible for operation,However, the Hong Kong No. 149 license application group has overlapping positions.,Therefore, these three license combinations only need 3 ROs to operate.。

The largest professional organization for handling Hong Kong No. 149 plates 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,How to apply for Hong Kong license No. 149,handle

cost

and function details 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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