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香港1号牌照申请办理条件_

Financial card care question

Hong Kong is one of the special administrative regions of my country,Has relatively high economic freedom and policy freedom,For the mainland,Hong Kong is an international financial center,Higher degree of openness to the outside world,Hong Kong can be used as a window for international business,But conducting financial business in Hong Kong,Same as mainland China, you need to hold relevant qualifications,Hong Kong’s licenses are divided into 9 categories,Space is limited,This article first focuses on the Hong Kong No. 1 license application process.。

Hong Kong No. 1 license is a type of regulated qualification issued by the Hong Kong Securities Regulatory Commission. It is a qualification applied by securities companies to engage in securities trading-related activities.,The Hong Kong market adopts a strict financial license regulatory system,The application conditions for Hong Kong No. 1 license are an aspect that many companies are concerned about.,As demand for applications increases,

cost

It is also rising further。

Hong Kong No. 1 license 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。The number of applications for Hong Kong No. 1 license increases and the Hong Kong stock market improves、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。Taking into account the strict approval process of the Hong Kong Securities Regulatory Commission,Harsh

Application conditions

,Application for Hong Kong No. 1 license has become the main channel for units to carry out securities trading-related businesses.,Hong Kong No. 1 License Acquisition,It is equivalent to a stepping stone to obtain regulated activities.。

Directly apply for a new securities dealer license,Need to comply with a series of relevant departments

Require

Require

Is a company registered in Hong Kong?,At the same time, we must have certain financial resources to deal with business risks.。

How to apply for Hong Kong No. 1 license or to check the qualifications of the person in charge?

Require

All are very high,As far as securities trading activities are concerned,No less than two responsible persons must be entrusted to supervise the relevant activities directly or at all times,More than one executive director approved by the Securities Regulatory Commission,The qualification certification of this type of talent has passed the test prescribed by the Hong Kong Securities Regulatory Commission.,But at present, companies are still very lacking in seeking such talents.。


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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