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Hong Kong No. 1 License Transfer、Processing and acquisition

Financial card care question

Hong Kong License No. 1 is also called a securities trading license,Among the many types of regulated securities licenses,The number of units and individuals holding Hong Kong’s No. 1 license is relatively large.,By the end of 2017,There are 1,247 companies holding Hong Kong license No. 1,这个牌照是具备股票买卖及其他资产交易业务资格的前提

There are still some differences between Hong Kong licenses and those in the Mainland.,Generally, after transferring the license to the acquirer,It is necessary to find a licensed responsible person (RO) to ensure the continuity of business activities,Hong Kong License No. 1

transfer process

It is also necessary to make changes to the relevant information before it can be acquired.。

Because the domestic stock market is not doing well right now,Shanghai-Hong Kong Stock Connect、The opening of stock mechanisms such as Shenzhen-Hong Kong Stock Connect,Improve the trend of Hong Kong securities market,Mainland people have entered the market through the transfer of Hong Kong No. 1 licenses or entrusting third parties to apply.。

recently,Zhonghe Credit Suisse, under the name of Golden Sunflower Capital, officially obtained Hong Kong 1、4、9license plate,Obtaining this set of licenses means obtaining a pass in the global capital market,At the same time, it also enhances its competitiveness in the same field.。

Apply for Hong Kong No. 1 license

Things to note

  1. Need to register a company in Hong Kong;
  2. Registered capital 5 million yuan,It is more convenient for the China Securities Regulatory Commission to approve and apply for a work visa.;After obtaining the license and obtaining the work visa,Removable part,But you must ensure a minimum monthly account balance of HKD 3.6 million;
  3. Source of funds:Provide shareholders with bank account statements for the previous year、Investment funds and stocks statements for the previous year,Prove that its assets exceed HKD 5 million.。

Involves more content,I won’t elaborate here one by one.,Transfer of Hong Kong No. 1 license before replacement of RO,You need to submit the new RO’s academic qualifications and 5 years of relevant employment certificates。 Apply for No. 1 license in Hong Kong、acquisition、Ten years of experience in transfer,Be familiar with the registration procedures for Hong Kong licenses No. 1-10,It is the largest Hong Kong securities license operator in Guangdong Province.,Maintain long-term excellence in price and professionalism in the same field

Advantages

,Details can be communicated with further。


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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