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开口一张嘴商家有没办理过香港149号牌照就看这个

Financial card care question

one、你直接问商家申请牌照对RO有什么

Require

  1. For each type of regulated activity for which you are applying,You must appoint at least two responsible officers to directly supervise the relevant activities you intend to carry out。香港149号金融牌照申请
  2. For each type of regulated activity for which you are applying,You must have at least one responsible person who can supervise the business at all times。

As long as the appointee is a suitable candidate and the relevant arrangements do not create role conflicts,The same person can be appointed as a responsible officer for more than one type of regulated activity。3、Among the responsible officers you intend to appoint,At least one must be an executive director as defined in the Securities and Futures Ordinance。Hong Kong financial license application,

Application conditions

What are there

  1. All your executive directors must seek approval from the SFC,to become yours(as a corporation)responsible person。
  2. When submitting your license application, you must,Submit all approval applications for all proposed responsible officers to the SFC together,for consideration by the Securities and Futures Commission。two、问商家注册资金多少?股权架构怎么设立?
  3. 不低于500万元的缴足资本不低于300万元的流动资金
  4. 申请香港149号牌照申请主体必须是香港公司
  5. 或者是在香港公司注册处完成注册的非香港公司

three、问如果想直接收购一家牌照公司流程怎样?人员变更和公司变更的材料需要提交到香港证监会,That is SFC,Review by the China Securities Regulatory Commission regarding acquisitions and shareholder background。When making an acquisition,Documents proving the source of funds for shareholders need to be re-provided,Including the previous year’s turnover,Statements for various types of financial products。It is necessary to prove that the shareholder’s assets are not less than HKD 5 million.。


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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