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香港1到9号牌怎么办理香港1到9号牌申请条件

Financial card care question

自2015年期根据香港市政府颁布的《证券及期货条例》发牌及注册事宜任何人士进行规管资金交易问题必须向香港证监会申领牌照获发牌照的团体或个人即为“香港证监会持牌人”

香港做为国家的金融窗口也作为亚洲的金融主要市场同时也拥有非离岸属性不论在监管架构的成熟度、The perfection of the public trading market and the richness of financial products, etc.,are at the forefront of the international financial market,It is the preferred platform for international investors to invest in Asia。

所以在香港申请1-9号香港金融牌照是非常有潜力的其中1-9号牌照中包括了受规管活动有以下1-9类牌照一类证券交易第二类期货合约交易第三类杠杆式外汇交易第四类就证券提供意见第五类就期货合约提供意见第六类就机构融资提供意见第七类提供自动化交易服务第八类提供证券保证金融资第九类提供资产管理香港市场执行的是金融牌照管理制度,Financial institutions can conduct stock trading at the same time、financial derivatives、Trading in foreign exchange and gold。

9The license is a Type 9 regulated business qualification license issued by the Securities and Futures Ordinance of Hong Kong.,i.e. asset management license。Hold this license,It means obtaining a "pass" in the international capital market,Not only can you directly participate in overseas investments,,It can also manage and utilize funds from overseas investors。

第九类 如该法团就第九类受规管活动受到不得持有客户资产发牌条件所规限不适用 10万港元其他情况500万港元 300万港元相关产品香港1到9号牌怎么办理 , 香港1到9号牌

Application conditions


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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