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Hong Kong No. 1 license application requirements and procedures

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 is among the twelve Hong Kong financial licenses,processed

Require

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

Hong Kong License No. 1

Application conditions

: 1,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。

  1. Includes 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

  1. Belonging to 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 License No. 1

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 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 license,Be sure to prepare all application materials,Avoid duplication of application materials,lead to

Application process

extension。 Hong Kong No. 1 plate application

Things to note

: 1,Find the right Hong Kong Type 1 licensed individual,Requires five or more years of relevant industry experience, etc.。

2,After completing the Hong Kong No. 1 license application,things are not over yet,It is also necessary to submit financial resource declaration documents to the China Securities Regulatory Commission every year, etc.。Less than half a year。A financial resource declaration is required。 It is an excellent Hong Kong financial license processing and transfer service provider in China.,500Multiple successful cases of Hong Kong financial license application,Among them, there are nearly a hundred companies with No. 1 license in Hong Kong.。

We have connected with relevant resources from Hong Kong’s securities regulatory and other departments.,Connected with many individual Hong Kong financial license qualifications,Can assist companies and individuals to quickly complete the application for Hong Kong No. 1 license。It is recommended that you need to learn more about the application details.,Welcome to 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

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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