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Hong Kong No. 1 License Acquisition,Acquisition of Hong Kong License No. 1

Financial card care question

Ten years of experience in handling financial licenses in Hong Kong,Provide clients with Hong Kong Class 1-10 license consultation、handle、Transfer and other comprehensive services,Hong Kong office,Well versed in Hong Kong policy trends,Always maintain industry-leading processing speed,Learn about the acquisition of Hong Kong No. 1 license and contact us。

Same as mainland,If you want to engage in the financial securities industry in Hong Kong,Companies or individuals need to have a financial license issued by the Hong Kong Securities Regulatory Commission,In order to better regulate Hong Kong,

Require

Units engaged in relevant financial activities need to apply for one of the 12 types of regulated qualification licenses based on specific business categories.,The acquisition of Hong Kong No. 1 license has become a trend.,Not without reason。

————————Hong Kong No. 1 license is a qualification required by individuals and companies engaged in securities trading.,Among many types of license plates,The number of individual licenses reached 26,125 in September 2016,Proportionately larger,There are 1,093 licensed institutions。

The business scope approved by each license is different,The units acquired with the Hong Kong No. 1 license can provide investors with the ability to buy and sell stocks and stock options.、Buy and sell bonds、Services such as buying and selling mutual funds and trust funds。Taking into account the strict approval process of the Hong Kong Securities Regulatory Commission,Harsh

Application conditions

,The acquisition of 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.。

————————The acquisition of Hong Kong No. 1 license or the qualification 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.。

Directors of Legend Holdings mentioned,Interested in holding a brokerage license through acquisition,to expand the financial sector,The acquisition of Hong Kong No. 1 license has been favored by many companies,Relying on Hong Kong, an international financial center, as a platform,Mainland enterprises use Hong Kong as a stage for overseas business expansion,Licensees or entities should comply with the Securities and Futures Ordinance and other relevant provisions of Hong Kong,To highlight competition

Advantages


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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