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The purpose of Hong Kong No. 9 license, the cost of No. 9 license, the transfer of No. 9 license, the Hong Kong No. 9 license exam

Financial card care question

1、Must be a limited company incorporated in Hong Kong or a non-Hong Kong company registered with the Registrar。2、The company has an actual office address in Hong Kong (must be written as Class A)。3、Have an experienced management team to assist in running the company,business framework、Internal control system and qualified responsible personnel RO。4、Must have two licensees,Nationality of licensed individuals and responsible persons,There are no restrictions or special regulations from the Securities Regulatory Commission。

Require

At least one responsible officer must be based in Hong Kong,in order to directly supervise the relevant business。5、At least one responsible person within the company must be a member of the board of directors。6、Registered capital of Hong Kong company

Require

500 10,000 Hong Kong dollars;Must always maintain paid-in share capital and liquid capital of not less than 300 10,000 Hong Kong dollars。Must open an account in a bank in Hong Kong。

There are other details for applying for Hong Kong financial license No. 1469.

Require

You can call me for consultation:Peng Sheng-134-170-46218 What exactly is a Hong Kong financial license used for?

License Type 1 Securities Trading·Provide trading/brokerage services of stocks and stock options for clients·Buy and sell bonds for clients·Buy/sell mutual funds and unit trust funds for clients·Place and underwrite securities Type 2 Futures Contract Trading·Provide clients with trading/brokerage services of index or commodity futures·Buy/sell futures contracts for clients Type 3 Leveraged Foreign Exchange Trading·Conduct foreign exchange transactions for clients on margin Category 4 provides advice on securities, provides clients with investment advice on selling/purchasing securities, and issues research reports/analyses on securities. Category 5 provides advice on futures contracts, provides clients with investment advice on selling/buying futures contracts, and issues research reports/analyses on futures contracts. Category 6 provides advice on corporate finance, acts as a sponsor for an initial public offering of a listing applicant, and provides advice on corporate acquisitions.、Category 7 provides automated trading services and operates an electronic trading platform that matches customer orders. Category 8 provides securities margin financing. Provides financing to customers who buy stocks and uses the customer's stocks as collateral. Category 9 provides asset management. Manages securities or futures contract investment portfolios for customers on a discretionary basis. Manages funds on a discretionary basis. Category 10 provides credit rating services for companies.、Preparing reports on the creditworthiness of bonds and sovereigns provides additional details for applying for a Hong Kong financial license No. 1469

Require

You can call me for consultation:-Peng Sheng-134-170-46218———————————–Huiyu International ——————————- Zhongcheng Yinxin won the Hong Kong 4、9No. 1 license, a new starting point for overseas investment layout, Zhongcheng Yinxin has officially obtained the license from the Hong Kong Securities Regulatory Commission.(SFC)Issued No. 4、9license plate。

Since then,Zhongcheng Yinxin will be able to provide customers with professional and diversified cross-border asset management services based on a global perspective.。future,Zhongcheng Yinxin will develop a complete asset allocation plan based on the specific needs of customers.,Zhongcheng Yinxin is committed to integrating the group's high-quality resources、Connect domestic and overseas resources,Strive to make Zhongcheng Yinxin a global provider of asset management and wealth management services。

The company specializes in handling various financial licenses,Including Hong Kong insurance broker license、Private equity fund license、insurance broker license、insurance agent license、Insurance adjuster license、Commercial factoring license、 Financial leasing license、pawn shop license、Financing guarantee license、Small loan license、Pay license、Crowdfunding company license、Credit reporting license、Internet financial brand,Hong Kong Financial License No. 1469;The company can also provide various financial license transfer services。””””


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 周浩铭

周浩铭

周浩铭在香港资产管理与证券监管合规领域有 8 年经验曾担任持牌资产管理公司业务与合规要职他熟悉香港证券及期货事务监察委员会(SFC) 关于 9 号牌照资产管理牌照申请条件风险控制框架要求内部合规制度投资组合管理控制及 Officer 资质要求等合规细则周浩铭擅长制定符合《证券及期货条例》的内部合规手册及持续运营合规流程

Areas of expertise:SFC 9 Application for number license、风险控制框架Officer 资质要求《证券及期货条例》内部合规手册

Previous institutions:香港持牌资产管理公司 & SFC 合规团队

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