Hong Kong financial license 1、2、4、6、9Full analysis of application conditions for No. 10 types

Hong Kong Securities and Futures Commission,Responsible for reviewing and issuing financial licenses

depreciation of the renminbi、Against the backdrop of tighter domestic regulation,Mainland institutional and individual investors are increasingly interested in investing overseas.,As an international financial market, Hong Kong,Regardless of the rigor of the regulatory framework、major,Or the professional knowledge of practitioners,and product diversification,They are all among the best in the international financial market.。Therefore, many investors use Hong Kong as a springboard to invest in overseas markets.。

Hong Kong is an important international financial center,It is also the bridgehead for many mainland financial institutions to go abroad.。Carrying out different financial businesses in Hong Kong,Need to apply for different types of licenses from the Securities and Futures Commission。

The Hong Kong market implements a financial license management system,When choosing an investment platform, investors must remember to check whether the company has the appropriate qualifications.,If the company does not have the relevant license,Security cannot be guaranteed,Not for investment。at presentHong Kong Securities and Futures Commission10 types of licenses issued,It is organized as follows for everyone,For your reference。

香港证监会(SFC)牌照
Hong Kong Securities and Futures Commission (SFC) license

1number plate:Securities trading

1、Provide customers with trading/brokerage services for stocks and stock options。

2、Buy and sell bonds for clients。

3、Buy/sell placing and underwriting securities of mutual funds and unit trust funds for clients。

Equivalent to mainland securities companies,Provide customers with stock trading services。Only obtained the No. 1 license,Only in Hong Kong can one be engaged in providing securities transactions for clients.、Brokerage and other corresponding services。

2number plate:Futures contract trading

1、Provide customers with index or commodity futures trading services。

2、Providing clients with index or commodity futures brokerage services。

3、Buy or sell futures contracts for clients。

Equivalent to mainland futures companies,Provide customers with futures contract trading business。Only obtained license No. 2,Only in Hong Kong can one be engaged in providing futures contract transactions for customers.、Brokerage and other corresponding services。

3number plate:Leveraged Forex Trading

Provide customers with foreign exchange transactions on margin,Only with No. 3 license,Only institutions can engage in foreign exchange leverage trading and other corresponding businesses.。

4number plate:Provide operational advice on securities transactions

1、Providing investment advice to clients regarding the sale or purchase of securities。

2、Issue research reports or analyzes on securities。

Only institutions that have obtained a Type 4 license can provide clients with securities investment advice in Hong Kong.,Publish relevant research reports and other corresponding services。

5number plate:Provide operational advice on futures contract trading

1、Provide investment advice to clients regarding selling or buying futures contracts。

2、Issue research reports or analyzes regarding futures contracts。

Only institutions that have obtained the Type 5 license can provide futures investment advice to customers in Hong Kong.,Publish relevant research reports and other corresponding services。

6number plate:Advise on institutional financing

1、Acting as sponsor for an initial public offering for a listing applicant。

2、For "Company Acquisition"、Providing advice on the Mergers and Share Buy-backs Code。

3、Advise listed companies on compliance matters under the Listing Rules。

Only those who have obtained the No. 6 license can engage in the business of providing corresponding advice services in institutional financing.。

7number plate:Provide automated trading services

In layman's terms, it means opening an online trading service,current securities、futures、Forex、Bonds and other transactions can be traded through online trading platforms。Only traders with No. 7 license can provide online trading services。

8number plate:Providing securities margin financing

Provide financing to clients who purchase stocks and use the client's stocks as collateral。Only those who have obtained the No. 8 license can provide customers with securities mortgage financing business.,Similar to domestic securities financing,Usually owners of No. 1 plates also provide this kind of financing service。

9number plate:Provide asset management

Manage securities or futures contract investment portfolios for clients on a discretionary basis。Only those who have obtained the No. 9 license can issue funds in Hong Kong,Manage client funds, etc.。Equivalent to Mainland China’s private equity fund license。

10number plate:Providing credit rating services

For companies、Rating the creditworthiness of bonds and sovereign states。Internationally renowned rating agencies include Standard & Poor's、Moody's、Fitch,In Hong Kong, you can only become a rating agency by obtaining license No. 10.。

After receiving the financial license from the Securities and Futures Commission of Hong Kong,Companies will be eligible to offer shares to investors、fund、Various financial products and services such as bonds。

Leverage the Hong Kong capital market platform,Not only can we develop more products such as overseas real estate or stock funds,,We can also launch value-added services such as investment immigration and investment consulting.,Solve customers' diversified investment needs。

To obtain a license, you must pass a series of rigorous examinations and qualifications,at the same time,Companies are also required to have a physical office address in Hong Kong,Have an experienced management team to assist in operating the company。

Businesses that usually obtain independent Hong Kong financial licenses,It reflects that the company and related groups are compliant and powerful institutions,It is an endorsement of a company’s strength。

Shenzhen Youyou Business Service Consulting Co., Ltd. (Youyou Business),is a room that providesApplication for overseas financial licenseconsulting services company。

since its inception,The team has accumulated a lot of successful experience,including applying for clientsHong Kong Securities and Futures Commission licenseCategory 1 (securities trading)、Category II (futures trading)、Category 4 (Advising on Securities)、Category 5 (Advising on futures contracts)、Category 9 (Provision of Asset Management) Regulated Activities License、Hong Kong Stock Exchange Trading Rights、Hong Kong Futures Exchange Trading Rights、Money Service Operator License,and successful experience in establishing Cayman Islands offshore funds, etc.。