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What is Hong Kong License No. 149?,What functions do they have?

Financial card care question

Detailed introduction of Hong Kong Information Communications Peng Yi Aaron said that as the environment in Hong Kong gradually stabilizes,Hong Kong's financial sector is slowly recovering and prospering again。If you want to conduct financial activities in Hong Kong, you must hold a Hong Kong financial license。The procedures for applying for a Hong Kong license No. 149 are complicated.,Long approval process,Low approval rate。

Therefore, the number 149 license plate is scarce in the market.,Now Hong Kong Xintong International has many years of experience in mergers and acquisitions in Hong Kong No. 149 license,The company currently has a clean No. 149 license that can be transferred.。

Applying for the No. 149 license based on the past experience of Hong Kong Xintong International can be simply divided into::Class license:Purpose of securities trading license: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.。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。

Hong Kong No. 149 License Agent for Type 9 License of the Securities and Futures Ordinance:Purpose of asset management license: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。

Among the many investors who inquire about the Hong Kong No. 149 license agency,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。The above is some of Hong Kong Xintong International’s experience in handling the No. 149 license.,If you need to apply for a Hong Kong No. 149 license, you can consult Hong Kong Xintong International to apply for it.。


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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