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Hong Kong No. 1 plate application and processing_Summary of multiple cases

Financial card care question

There are a total of 12 types of regulated financial licenses in Hong Kong,The top one is the securities trading license.,That is the Hong Kong brokerage license that we are familiar with.,Hong Kong No. 1 plate。Different types of Hong Kong financial licenses

Application process

and

Require

There is a difference。Hong Kong No. 1 license is among the twelve Hong Kong financial licenses,processed

Require

Still quite a lot,The following points will be introduced clearly。

The number of Hong Kong No. 1 licenses issued and 4、9The number of license plates is quite,However, the difficulty of application and the time required to queue up to apply for a license are relatively long.。Hong Kong No. 1 license is mainly reviewed and approved by the SFC,After completing the Hong Kong No. 1 license plate application,Institutions can provide customers with more diversified financial asset investment services。

Hong Kong No. 1 plate

Application conditions

made on registered capital and working capital

Require

: Pay the corresponding minimum amount of equity according to the business scope,Liquidity cannot be lower than the first

Require

。Generally speaking,specific

Require

as follows: (1) If it includes the business scope of the approved introducing agent,The amount of capital required to be paid is not

Require

,However, the working capital cannot be less than 500,000。

(2) Including providing securities margin financing,Need to meet the paid share capital of not less than 10 million,Liquid capital is not less than 3 million Hong Kong dollars

Require

。 (3) In other circumstances。The amount of paid-in equity needs to be greater than HKD 5 million,Liquidity capital is not less than 3 million Hong Kong dollars。 Hong Kong No. 1 plate

Application process

: General personnel,After the venue and company-related application materials are ready, you can start applying to the Hong Kong Securities Regulatory Commission.。

Hong Kong No. 1 license plate is among all Hong Kong financial licenses,The proportion is relatively large。So there are a lot of people queuing up。Therefore, in the process of applying for a Hong Kong No. 1 plate,Be sure to prepare all application materials,Avoid duplication of application materials,lead to

Application process

extension。

Analysis on the transfer and acquisition case of Hong Kong No. 149 license plate by Manager Peng Yi,There are mainly the following points that need to be paid attention to and understood clearly:: 1,Although the name is all plate number 149,But actually,Hong Kong No. 19 cards are divided into big and small.。Big 1 is a brokerage firm,But Xiao 1 is the introducer。Big 9 can hold client assets,However, Xiao 9 cannot hold client assets。

When making an acquisition,Must understand clearly,Never buy a small-brand Hong Kong company at a big-brand price。 2,When making an acquisition,Documents proving the source of funds for shareholders need to be re-provided,Including the previous year’s turnover,Statements for various types of financial products。It is necessary to prove that the shareholder’s assets are not less than HKD 5 million.。

3,Materials for personnel changes and company changes need to be submitted to the Hong Kong Securities and Futures Commission,That is SFC,Review by the China Securities Regulatory Commission regarding acquisitions and shareholder background。 4,As of the end of December 2017,There are 1,247 companies holding No. 1 license in Hong Kong,There are 1,291 companies holding license No. 4,There are 1,477 companies holding Hong Kong license No. 9。Among them, some have relatively heavy assets.,The transfer price will also be correspondingly higher.。

There are also licenses that were just obtained last year,Haven’t started any business yet。The type of acquisition depends on the specifics of the acquirer.

Require

Got it。 Related news: 2018October 8,Leader Securities was officially approved by the Securities and Futures Commission of Hong Kong (SFC),Lead Technology Group was approved for the first type of securities trading license in Hong Kong。before that,2018February,Lead Technology Group has obtained the Type 9 asset management license from the Hong Kong Securities and Futures Commission。

Manager Peng Yi,It is a major financial license processing service provider in China and Hong Kong.,Ten years of senior management experience,Helped more than 500 companies obtain Hong Kong financial licenses。Whether it is processing or direct acquisition,The quotations given by Manager Peng Yi are always 20% lower than those of peers.。

In the long-term process of docking with the China Securities Regulatory Commission,Manager Peng Yi has accumulated a large amount of management resources,For no responsible person,individual licensee,Don’t know how to register a Hong Kong company?,What type of Hong Kong company customers should be registered?。We can customize a complete set of solutions according to the specific situation of the customer。It is recommended that we need to learn more about the application and acquisition of Hong Kong No. 1 plate.,You can call us directly to communicate and understand clearly.。


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

Editor of this issue:

Picture of Aaron Pengyi

Aaron Pengyi

2009Graduated from Cambridge University, UK,Singaporean,Hong Kong permanent resident。

Engaged in cross-border financial and corporate compliance consulting for 16 years,Focus on various types of license applications in Hong Kong (149、9Number、MSO、insurance broker、moneylender)、Offshore company registration (BVI、Japan、Singapore、Taiwan、UK) and offshore fund establishment。

Good at efficient compliance solutions and cross-border architecture planning,Has served more than 1,000 companies。

If you encounter difficulties in cross-border financial business,please contact me。

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