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Hong Kong No. 149 license transfer

Financial card care question

香港与大陆之间的关系日益紧密两地都渴望拓宽市场,Hong Kong is relatively open to the outside world,内地企业企图通过申请香港149号牌照来获得在香港开展金融证券业务的可能通过香港这个平台将业务延伸至海外市场,but,对香港方面牌照管理有留意的人士就知道由于监管严格申请难度大香港149号牌照转让继而受到企业的青睐

企业在考虑通过香港149号牌照转让来获取经营资质的同时,transfer

cost

是首要考虑的因素香港证监局是香港149号牌照发放的部门对个人和机构的申请有不同的

Require

,Mainly from paid-up capital、速动资金等方面进行

Require

香港149号牌照三类牌照根据经营业务的不同也分别有详细的

Require

对香港149号牌照转让

cost

有所获悉前我们对这三类牌照的具体功能进行展开。Hong Kong License No. 1:也叫香港证券交易牌照它具备提供股票(期权)买卖债券买卖买入或卖出共同基金投资基金等服务————香港149号牌照转让

Hong Kong license No. 4:证券公司申请的一类券商牌照一般1号牌照和4号牌照相辅相成有了1号交易牌照之后会有多数投资人士询问有关投资意见而香港4号牌照可以就证券提出意见向投资者分析有关证券投资的研究报告

————香港149号牌照转让_香港9号牌照也叫资产管理牌照它是内地私募机构出海的一种普遍方式但是对于企业的实力

Require

is very high,首先需要有管理的人才还有成本高企不是容易获取的资质

香港149号牌照转让是避开各项申请考核的步骤直接获取资质的途径因为无论是哪一类牌照它的发放都是要遵循《证券及期货条例》在香港注册公司或者是海外法团是前提另外企业需要有合适的业务框架良好的资金能力和持有相关牌证的负责人员


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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