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Hong Kong No. 1 license application process_Hong Kong No. 1 license application conditions

Financial card care question

The Hong Kong market’s approval mechanism for financial licenses is different from that in the Mainland,In terms of regulated activities,There are 12 types of licenses in Hong Kong,And among them,Hong Kong No. 1 license application can be said to have the largest number of applications among many types of licenses.,By September 2016,The number held by individuals is 26125,Institutions received a total of 1,093,Far superior to other types of financial securities licenses。

The increase in the number of Hong Kong No. 1 license applications and the improvement of the Hong Kong stock market、Shenzhen-Hong Kong Stock Connect、The interconnection of stock trading mechanisms such as Shanghai-Hong Kong Stock Connect is directly related to。As a securities trading type license,Hong Kong License No. 1 can provide investors with stocks、stock options、bonds、mutual funds、Services such as buying and selling of various financial products such as investment funds。

去年年底,Zhonghe Credit Suisse Consulting Co., Ltd., a subsidiary of Golden Sunflower Capital, has obtained Hong Kong 1 approval from the Hong Kong Securities Regulatory Commission.、4、9Financial license,Improved the service sector of enterprises in the Hong Kong financial market,Provide investors with more comprehensive services,Regulation is currently tightened,Hong Kong License No. 1

Process

Application conditions

Management is relatively strict in all aspects,Holding a Hong Kong license is a reflection of corporate strength。

Hong Kong License No. 1

Process

Application materials that meet the conditions need to be submitted to the Hong Kong Securities Regulatory Commission,Because working in the financial industry requires talents with relevant experience

Require

is very high,Therefore, during the application process, applicants or companies may also face difficulties in finding talents.,The Securities and Futures Commission of Hong Kong mainly looks at the financial situation of enterprises、Qualifications of personnel、Reputation、Comprehensive consideration of several aspects of financial stability,Determine whether to allow the unit to apply for Hong Kong No. 1 license。

Hong Kong License No. 1

Application conditions

:1) Apply in the name of a Hong Kong company or overseas corporation;2) Business structure suitable for the company’s size、Personnel and surveillance systems;3) complies with the regulations of the Securities Regulatory Commission

Require

responsible person,Responsible personnel should include more than one time supervisor、executive Director。

Hong Kong No. 1 license

Process

Application conditions

After having a general understanding,You can start preparing to apply for a job,But if you want to do business quickly,You may also wish to consider doing it through acquisition。Ten years of Hong Kong financial license agency、transfer experience,Integrate multiple resources,Hong Kong resident staff,Maintain long-term cooperation with the window,Have professional experience and speed leading the industry,Hong Kong License No. 1

Process

条件请致电


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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