Hong Kong financial license 1、4、9What is the license plate?
Class 1 license：证券交易牌照
- 为客户提供股票及股票期权的买卖/经纪服务
- Buy and sell bonds for clients
- Purchasing/selling mutual funds and unit trust funds for placing and underwriting securities for clients：It is used to provide various services for securities trading to customers.，Such as providing stock and option trading services；Ability to buy and sell bonds for clients、Functions such as buying and selling mutual funds，It is the one with the largest number of individuals and entities among the 9 types of licenses.。
Apply
Require
：It depends on whether you hold client assets to operate funds，Generally, the difficulty of applying for a license to hold assets is different from that of a license not to hold assets.。
1 License plates are divided into major 1 和小 1 介绍和导流投资者给券商，Collect commissions - No. 1 license (commonly known as "small No. 1 license") becomes a securities dealer，To carry out securities trading and capital allocation business - the No. 1 license (commonly known as the "Big No. 1 license" is equivalent to a domestic securities firm), the No. 1 license (securities brokerage) can hold customer assets.：Placing、Debt issuance、financial advisor、Stock trading、stock options、FIT trading、online trading、It’s just like a normal domestic securities firm.。
Class IV license：Securities advisory license purpose：It’s a consulting license，Units holding such licenses，Can give investors some appropriate investment advice，Generally to facilitate securities transactions，Hong Kong No. 4 license will be applied for together with Hong Kong No. 1 license。Apply
Require
：Register a Hong Kong company，Configure a corporate structure appropriate to the company's business scale，2RO above the name，Can be used with 1、9License holders of licenses overlap。
Category 9 license：资产管理牌照以全权委托形式为客户管理证券或期货合约投资组合以全权委托形式管理基金 用途：Able to help overseas customers manage assets，It is a type of Hong Kong financial license sought after by large mainland private equity institutions.。The innocent heart of the mainland、Shengshi Investment、Tianma Assets has entered the Hong Kong market through application or acquisition.。
Apply
Require
：Have a company in Hong Kong or be an overseas corporation；Have certain financial capacity to repay debts、Persons who have passed the assessment of the Securities and Futures Commission of Hong Kong、2person in charge，500Paid-up share capital of more than HK$10,000、300Liquid capital of more than 10,000。
Establish private equity funds or invest for professional investors - No. 9 license (commonly known as "small No. 9 license") to establish public funds，进行基金零售——9号牌照（俗称“大9号牌照”）很多询问香港149号牌照代办的投资人中，Many are looking for companies with RO，But actually，If the company also holds a 149 license，Only 3 ROs are needed，Can be shared across individual posts。
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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。
