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Conditions for applying for Hong Kong No. 1 plate,How to apply for Hong Kong No. 1 financial license

Financial card care question

Detailed introduction of Hong Kong Xintong Peng Yi Aaron said that as the financial market around us slowly picks up,,A lot of money flows into products such as stock market funds,As an important financial market, Hong Kong,He has a complete financial management system。Then you must hold a Hong Kong financial license No. 149,Hong Kong's No. 149 license application needs to meet many conditions.,Hong Kong Xintong International has rich experience in this regard。

If you want to apply for Hong Kong No. 149 license plate, you can pay attention to these points based on Hong Kong Xintong International’s past experience.:Hong Kong is an important international financial center,It is also the bridgehead for many mainland financial institutions to go abroad.。Spending different financial services in Hong Kong,Need to apply for different types of licenses from the Securities and Futures Commission。

The following is a summary of Hong Kong’s nine major licenses::Hong Kong Nine License Plate No. 1:Securities trading 1. Providing trading and brokerage services for stocks and stock options 2. Buying and selling bonds for clients 3. Buying and selling mutual funds and unit trust funds for clients Placing and underwriting securities No. 2:Futures contract trading 1. Provide customers with the buying and selling of index or commodity futures 2. Provide customers with index or commodity futures brokerage services 3. Buy or sell futures contracts for customers 3.:Leveraged foreign exchange transactions carry out foreign exchange transactions for customers in the form of margin. The above are the requirements for applying for the No. 149 license.。

If you are also interested in applying for Hong Kong No. 149 license, you can consult Hong Kong Xintong International to apply.。Hong Kong Xintong International has 13 years of professional experience in handling Hong Kong No. 149 license,Can provide you with professional and efficient handling services。


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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