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Hong Kong 149 Financial License Application – Hong Kong Securities and Futures Commission releases “Licensing Manual”

Financial card care question

Hong Kong License No. 4 is a license that companies that want to provide securities advisory services in Hong Kong need to apply for.。Generally, enterprises will choose to apply for the No. 1 license and the No. 4 license at the same time.,Enterprises holding No. 1 license can conduct securities trading activities,Holder of license No. 4 can provide advice to customers。

Today’s focus is on introducing Hong Kong License No. 4

Process

sum condition,Due to limited space,Want to fully understand how to apply for Hong Kong No. 4 license?,Please contact China-Hong Kong Financial Brand Care and ask Manager Peng Yi Peng Yi:.The main service of the Hong Kong Type 4 license is to provide advice on securities,Don’t think that giving your opinion is risk-free,in the financial circle,If it misleads investors,The Securities and Futures Commission of Hong Kong will impose fines,At the same time, the Hong Kong license No. 4 will be revoked at any time.。

————————————————————There are many conditions that need to be met to apply for Hong Kong No. 4 license,The Hong Kong Securities Regulatory Commission’s review mainly examines the economic strength and solvency of the company.,Examine employees’ academic qualifications and other qualifications and experience,Is the company capable and competent?、Carry out relevant regulated activities honestly and fairly。

The minimum paid-in capital of the enterprise applying for processing

Require

5 million Hong Kong dollars,of working capital

Require

It should be 100,000 or 3 million Hong Kong dollars,It will vary depending on the category。For personnel qualifications,Educational qualifications,Management experience, etc.

Require

Very strict,Relevant work experience must be more than 3 years,Qualification exams required for industry certification,There must be more than two persons in charge。The specific application conditions will vary according to the actual business scope of the enterprise.。

Enterprise conditions meet,Materials are ready,Finally passed the approval of the China Securities Regulatory Commission and obtained the license。After obtaining the license, the company must notify the China Securities Regulatory Commission within one month of the company’s fiscal year end date.,Submit corporate accounts and other required documents 4 months before closing。Every month, companies need to submit a financial resource declaration form to the Securities Regulatory Commission.。For detailed Hong Kong No. 4 license application details, please consult China-Hong Kong Financial License Manager Peng Yi Peng Yi:。

China and Hong Kong financial license consultant Peng Yi specializes in handling various financial licenses,At the same time, there are many ready-made resources available for transfer,like hong kong 1、4、9There are ready-to-transfer resources available for licenses.,Friends in need please call Manager Peng for details.,Negotiate cooperation。


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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