Hong Kong No. 1 financial license agency
Application conditions
and process background introduction：Compared with mainland financial licenses
Application conditions
more harsh，Hong Kong as a major offshore and non-offshore center for Asia’s financial markets，Regardless of the maturity of the regulatory framework、The perfection of the public trading market and the richness of financial products, etc.，are at the forefront of the international financial market，This kind of
Advantages
，This has become the main reason why mainland capital is optimistic about the value of Hong Kong’s financial license.。
Therefore, many domestic financial giants often consider Hong Kong as an international financial center when laying out the financial market.，Go to the investment zone to make money through Hong Kong’s financial market，Hong Kong is a special administrative region under one country, two systems，Due to historical reasons，Hong Kong is relatively open to the outside world，There are more and more cases where mainlanders want to carry out securities and financial services in Hong Kong by applying for a Hong Kong 149 license.。
Hong Kong No. 1 financial license agency
Application conditions
Understand the process and big brands：The first category is also divided into large 1-number cards and small 1-number cards.。The small number 1 plate means，Customers cannot open accounts with you、Can't release funds、Unable to place an order，But commissions can be divided legally。This business is gray in the country，But in Hong Kong, as long as you get a small number 1 plate, it is legal。
If you have a customer，You don’t have an ordering system yourself，Can cooperate with brokers，Transactions generated by this customer at the brokerage firm，I can share it with you。Big No. 1 licensees (securities brokers) can hold client assets for trading：Placing、Debt issuance、finance、Fried Paleo、Ancient ticket options、FIT trading、online trading。It’s the same thing as what domestic securities firms do。
· Introduce and guide investors to collect commissions from securities firms. No. 1 license (commonly known as the small No. 1 license) · Become the No. 1 brokerage license for securities trading and capital allocation business (commonly known as the big No. 1 license) Hong Kong No. 1 financial license agency
Application conditions
and process core
Things to note
：
- Competence：You must satisfy the SFC that you have a suitable business structure、Good internal control system and qualified personnel，Sufficient to ensure that when you conduct your proposed business as detailed in your business plan，Ability to appropriately manage risks that may be faced，If necessary, contact Manager Peng Yi。
- The Responsible Officer must appoint at least two Responsible Officers to directly supervise the regulated activities for which you intend to carry out the relevant activity application，There must be a responsible person who can supervise the relevant operations at all times。As long as the appointee is a suitable candidate and the relevant arrangements do not create role conflicts，The same person can be appointed as a responsible officer for more than one type of regulated activity。
Among the responsible officers to be appointed，There must be an executive director as defined in the Securities and Futures Ordinance，to become a responsible officer of your corporation。Submit the approval application of all proposed responsible officers to you with the SFC when submitting your license application，for consideration by the Securities and Futures Commission。3.senior management：primary responsibility，is to ensure that you maintain appropriate standards of conduct and follow appropriate procedures。
The SFC considers that the senior management of a licensed corporation，Responsible officer of the corporation，people we call core functional leaders，The above three categories of positions can be held by one person at the same time，When applying for a license，Information about your core functional leaders and organizational chart are required，The management structure of a licensed corporation (including the appointment of core functional managers) should be approved by the corporation’s board of directors。
Hong Kong Xintong International Business Co., Ltd. was established in 2007，Headquartered in Shenzhen，and in Shanghai，Hongkong，Taiwan，There is an office in Japan。Hong Kong Xintong is a business service integration company，Get involved in international business，financial advisor，Acquisitions and mergers, etc.。
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About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
