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How to apply for Hong Kong No. 1 financial license

Financial card care question

Compared with the financial license application in the Mainland,,It is still relatively difficult to apply for a Hong Kong financial license.。Let’s look at a data,As of September last year,There are a total of 1,093 organizations holding Hong Kong License No. 1,The number of individual licenses is 26125。There are nine types of financial licenses in Hong Kong,The most popular among them is the No. 1 license plate,That is, Hong Kong securities license。

With the opening of the two "tracks" of Shenzhen-Hong Kong Stock Connect and Shanghai-Hong Kong Stock Connect,,More and more mainland customers hope to obtain a Hong Kong No. 1 financial license,to enter the international market。So specific

Application process

What about the conditions and restrictions? We will introduce it in detail next。1,Hong Kong No. 1 financial license

Application process

What is it?

The application process mainly involves preparing all relevant materials that comply with Hong Kong’s Securities and Futures Ordinance.,and then submit it to the Securities Regulatory Commission,The next step is to wait for the review process。The point is to walk

Application process

Before,Find out all the ways to deal with it first。Need to know more information about policy changes related to Hong Kong No. 1 license application,Including registered capital and paid capital, etc.

Application conditions

Require

,Welcome to contact 2,What are the requirements for applying for Hong Kong’s No. 1 financial license?

First of all, for the company

Require

,Corporations and institutions applying to hold a Hong Kong securities finance license must be registered in Hong Kong。Then the company needs to have a good management system to control risks,Have relevant personnel with securities qualifications,Each type of regulated project requires at least one SFC-compliant

Require

responsible person。What exactly is required to satisfy the Securities Regulatory Commission?

Require

Welcome to contact,We will provide information on how to apply for the new Hong Kong No. 1 license plate,,The largest Hong Kong financial license application agency service provider in China,Has extensive experience in operating financial licenses in Hong Kong,Ability to apply for Hong Kong financial licenses No. 1 to 9。There is a dedicated Hong Kong financial license processing department,Real-time updates on Hong Kong policies and Securities and Futures Commission developments for

Process

and the direct impact of conditions。Welcome to call us,Learn more about the Hong Kong financial license application process and conditions:


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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