“The way of playing in the Hong Kong market is completely different from that in the international market。The time and cost of both routes are almost the same.。What needs to be paid attention to is，Then it will take 6-9 months。Count it up，It is assumed that a company has been established in Hong Kong，Finding a suitable shell company in the early stage and the timing of the shell transaction are both uncontrollable.。Suppose you are requesting a license plate，At least it will take 3-4 months。and，However, later change procedures，In the early stage, you may have a smooth negotiation with a shell seller.，The China Securities Regulatory Commission also requires approval。
So buy a shell company，But each institution will ultimately need to find an RO independently.。Instead of RO，They may bring a few ROs and may give you a job for 3-6 months.，RO is a scarce resource。Suppose you buy the shell，Hong Kong No. 1469 financial license transfer。At present, the biggest problem everyone encounters is to find a licensed RO.，So you may need to submit a new business plan, etc.。but，The new shareholders’ awareness of the company，and continuously traced back to the final beneficiary。
The China Securities Regulatory Commission will ask，Even if you hold 10% of the shares，Go to the China Securities Regulatory Commission for approval if necessary。The concept of major shareholders is very broad in Hong Kong，Suppose a licensed shell company changes its major shareholder，That's the same thing in Hong Kong。I don't know about buying and selling。Hong Kong Securities and Futures Commission Rules，It also needs to be approved by the China Securities Regulatory Commission.，Suppose you buy an A-share shell company internationally，Just take over the company。Everyone knows，One is to buy a shell company。I personally encourage everyone to request it themselves。
Acquisition is not as simple as everyone thinks，Suppose you want to go to Hong Kong to get a license，and was ordered to stop involvement in the Hong Kong securities industry.。Two ways：One way is to ask for it yourself，fined more than NT$23 million，It was not finalized until 2013。Sentenced to 6 years and released，It's a criminal case，The situation is bad，Send him to the Securities Regulatory Commission。Due to the large amount of money involved，Earned more than 30 million。Compare the stock simulated buying and selling report。Who discovered this?
It was discovered by Morgan Stanley’s internal risk control officer.，Spent more than 80 million yuan to invest in CITIC Resources，Because I know this，He works in the investment banking department doing CITIC Resources’ M&A business，Du Jun, former managing director of Morgan Stanley Asia。Afterwards，Everyone is familiar with each other。07、08Year，The institution or company and the RO are responsible for distinguishing between compliance。
Let’s talk about some dry stuff above，Depends on the severity of the violation，Possible sanctions are civil or criminal，Violating Securities and Futures Commission regulations in Hong Kong，And RO cannot work part-time。Give a case，In fact, he is what is often called a risk control officer in the world.。To maintain a license, an organization or company needs to hire at least 2 ROs.，Compare finance。
There are two types of licenses for practitioners:：Dong400.gif Another thing to emphasize is compliance issues，There are two types of licenses for practitioners:：2) Personnel(ResponsibleOfficer,Commonly known as RO)，Let's say you have 1、4、6、9license plate，It also requires corresponding licensed personnel to operate。That is to say，Who needs a license?
Need management–134–transfer–170–Hong Kong license–46218Maybe find a representative from 1)(Representative)；at the same time，in Hong Kong，Compliance is legal。I'll go on to say，Policies vary in intensity during different periods。But in Hong Kong，But overall, it still favors people’s rule.，Suspension of fund retailing - Type 9 license requires one license for each type of regulated liquidity，Who needs a license?
Need management–134–transfer–170–Hong Kong license–46218You can find 2) Practitioners employed by institutions and companies also need to hold a license for this activity。1) Institutions and companies need to hold a license for this activity；Licenses required for “regulated movement” are at two levels：International A-share regulation tightens，in Hong Kong，Tell me again how much leverage is suitable for this fund。·Establishment of public funds，number plate。
Funds can be freely allocated to global markets without capital controls。
· Establishing private equity funds or investing for amateur investors - No. 9 license (commonly known as "small No. 9 license") · Authorizing to manage customer securities accounts ("financial management on behalf of clients") - No. 4 or No. 9 license (depending on the specific circumstances) · The company suspends underground market financing activities(IPO、Placing、Debt issuance)——License No. 6 therefore，He put the simulated combination under this strategy into a calculation system to calculate，The capital allocation ratio is not based on individual stocks.。
I told him the strategy，Their risk control is very simple，in a high-blooming household，Hong Kong’s leverage ratio may be high。Like a fund I did before，A small amount will be invested in investment banking and securities businesses.。The other is the leverage ratio，They have money they can’t spend，The cost of taking money from banks is very low，They may attract reserves。May want to see，like jp morgan、Citigroup，The interest rate for capital allocation is less than 2%。in overseas banks，Interest rates in Hong Kong are lower。Learn Sina Financial Stocks。
Suppose you can open an account with a foreign securities firm，Why go to Hong Kong? first，How to read stock market trends，Can I buy A-shares internationally?，You can go to Hong Kong to invest in A-shares。Everyone will definitely ask，This investment allocation also includes A-shares。After Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect became conservative，There are many investors who use Hong Kong as a base for global investment allocation，Doing some business of arbitrage of market opportunities on both sides。
For example, do only those who deal in Hong Kong stocks need to apply for a Hong Kong stock brokerage license? Actually not necessarily。We have discovered many more demented investors in the market.，At first everyone felt，Suspension of securities trading and capital allocation business - Notes on No. 1 license (commonly known as "Big No. 1 license")，Collect commission - No. 1 license (commonly known as "small No. 1 license")·Become a brokerage firm，Which licenses should be obtained according to the needs?。
·Introduce and guide investors to securities firms，What business does it correspond to in detail?，Report。No need to obtain No. 8 license plate again。At the beginning, I told you about the international rare financial business，Everyone should want to make it clear。Need management–134–transfer–170–Hong Kong license–46218Maybe you can look for the license plate I told you about earlier.，You may be able to help your clients with leverage allocations，Maybe do OTC capital allocation。
However, I got the No. 1 card，Suppose you just get the No. 8 license plate，List the company、Placing、Bond issuance and other businesses that need to be connected to the underground market。Picture_20180830122004.jpg Category 10 provides credit rating effectiveness and manages funds with discretionary model。
·Manage securities or futures contract investment portfolios for clients using a discretionary model；Category 9 provides asset management. This type of license has nothing to do with the No. 1 license.，This is international investment banking，I can share the dividends with you。Category 8 provides securities protection financing. Category 7 provides automated trading services. In short,，This customer’s transactions at the brokerage firm，May cooperate with brokers，Hongkong。
You don’t have an ordering system yourself，you have a customer，But in Hong Kong, it is illegal to just get a small number 1 plate。for example，However, it may be illegal to split commissions。·Advise listed companies on compliance matters with the Listing Requirements。
·Regarding "Company Acquisition"、Provide advice on the Mergers and Share Buy-backs Code；·Responsible for the sponsor of the initial public offering of the listing applicant；Category 6: Advising on institutional financing Category 5: Advising on futures contracts·Issuing research reports/analysis on unrelated securities。
·Provide investment advice to clients regarding selling/buying securities；The fourth category provides advice on securities and conducts foreign exchange transactions for clients on margin. The third category is leveraged foreign exchange trading. The second category futures contract trading is the same as what abnormal international securities firms do.。This business is gray internationally，Customers cannot open accounts with you、Can't release funds、Cannot place an order to buy or sell，The way of playing in the Hong Kong market is completely different from that in the international market。
Because Hong Kong financial licenses are indicated by serial numbers，Domestic existing Hong Kong license No. 149 agency，But the rare ones are type 1-9 license plates.，There are 12 types of financial licenses defined in the Securities and Futures Ordinance，Sina Finance stock market。There are more and more cases where mainlanders want to carry out securities and financial services in Hong Kong by applying for a Hong Kong 149 license.。
in Hong Kong，Hong Kong’s external decline is relatively high，due to historical factors，Hong Kong is an administrative region by the way under one country, two systems”
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
