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Hong Kong License No. 1 Application,Apply for a securities trading license

Financial card care question

Mainland my country and Hong Kong actively seek interoperability in various fields,One of these areas is the securities market。From the successive proposals to the launch of the two major interconnection mechanisms of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect,Hong Kong fully plays its role in connecting the mainland and international capital markets,Hong Kong No. 1 license application is an indispensable step for mainland investors to deploy the Hong Kong financial market。

As more and more mainlanders go to Hong Kong to register securities companies,Hong Kong has also adopted a relatively strict regulatory system。Analyze a set of data to see,By December 2017,The number of companies applying for Hong Kong No. 1 license reached 1,247,The individual or company holding the license,Able to conduct relevant stock trading in Hong Kong、Asset and other securities trading activities,Generally, it will be used in conjunction with the No. 4 securities license.。

Finding talents suitable for the business is a difficult point in Hong Kong No. 1 license application,Therefore, some people in Hong Kong will consider acquiring the license and the operating team as well.,But because it takes a long time to go through the transfer procedures,,Taking into account price factors,Usually mainlanders will directly apply for Hong Kong License No. 1,Since Hong Kong’s RO has a higher

Require

,It will be more difficult for mainlanders to find licensees,Then it is also feasible to entrust someone to apply on your behalf.。

Hong Kong License No. 1 Application,Investors should be very clear about how the business is conducted,The need or need to hold client assets for transactions will directly affect the difficulty of the application.。If a Hong Kong securities company wants to be qualified to hold client assets,Need to ensure that there is higher liquidity and paid-up equity in the account,Only in order to meet the screening standards of the Hong Kong Securities Regulatory Commission。

Engaged in Hong Kong No. 1 license application business for ten years,We now provide Hong Kong license application and transfer services for Hong Kong license numbers 1.2.3.4.6.9 and so on.,Always oriented to customer needs。Successfully assisted 500+ mainland companies to open up the Hong Kong market,Provide suitable talents,Hong Kong License No. 1 Application,Details of applying for a securities trading license are welcome and further communication is welcome.,The price is guaranteed to be lower than the market average price。


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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