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Hong Kong No. 149 license transfer

Financial card care question

This article on the transfer of Hong Kong No. 149 license is compiled and edited based on professional experience. There are already many related introductions about Hong Kong No. 149 license on the Internet.,Investors who are interested in handling or acquiring I believe they have done their homework.,What is Hong Kong License No. 149?,What are the uses,Let’s reorganize it for you below,Currently holding Hong Kong license No. 149 for transfer,Meet the needs of immediate business operations。

Hong Kong license number 149,1The license can be said to be a type of license held by a relatively large number of individuals and institutions.,By September 2016,There are 1,093 institutions and 26,125 individuals holding Hong Kong No. 1 licenses respectively.。

It is a securities trading license,According to whether they are qualified to hold client assets, they are divided into big 1 and small 1 cards.,Big 1 license refers to a license that can hold client assets and operate them on your behalf.,Generally the price will be higher than the small 1 license _____ Hong Kong No. 149 license transfer。

The second most popular license is the Hong Kong No. 4 license,It belongs to the fourth category of regulated licenses under the Securities and Futures Ordinance of Hong Kong,Usually applied together with the Hong Kong No. 1 license,Because it is mainly a securities license that provides professional opinions on securities,The transfer of Hong Kong No. 149 license can avoid the cumbersome application procedures of the Hong Kong Securities and Futures Commission,Deploy the Hong Kong securities market in a short time。

Hong Kong license number 9,It can be said that it is the new favorite of large mainland private equity institutions.,Hong Kong stocks surge,Against the backdrop of strict domestic private equity controls,,By applying for Hong Kong No. 9 license,Investors can make overseas investments through normal channels。

As a Hong Kong asset management license,Hong Kong No. 9 license plates are also divided into large and small No. 9 license plates.,Same,The Big 9 license allows you to hold client assets and manage them for them,The market is broader,Some larger companies,Usually, the transfer of Hong Kong No. 149 license is considered to lay out the Hong Kong securities market.。

There are differences in application for Hong Kong license No. 149,But it is required on the RO (licensed responsible person)

Require

2name or more,Among them, RO plates No. 1 and No. 9 can be shared.,Hong Kong license No. 149 only requires 3 ROs。


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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