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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,拥有着较高的经济自由和政‌‌策自由,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,本文先以香港1号牌照申请办理为主线

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,香港1号牌照申请办理条件是不少企业所关心的方面,As demand for applications increases,

cost

It is also rising further。

香港1号牌照申请办理条件:1)以香港公司或者海外法团的名义申请;2)相适应于公司规模的业务架构人员和监控系统;3)符合证监会规定

Require

responsible person,负责人员中应包含一名以上的时刻监督人员执行董事香港1号牌照申请办理数量增多与港股市场向好深港通沪港通等股票交易机制互通是有直接关系的

作为证券交易类型的牌照香港1号牌照能够为投资者提供股票、stock options、bonds、mutual funds、投资基金等各类金融产品的买入与沽出等服务。Taking into account the strict approval process of the Hong Kong Securities Regulatory Commission,Harsh

Application conditions

香港1号牌照申请办理成了单位开展证券交易相关业务的主要渠道,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.。

香港1号牌照申请办理还是办理对负责人员的资质

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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