Hong Kong SFC Type 1,4,6,9 License #1009 For Sale

Hong Kong is one of the world’s leading financial hubs, offering a well-regulated environment for financial institutions. The Securities and Futures Commission (SFC) of Hong Kong grants various licenses to firms engaged in regulated financial activities. Holding an SFC license allows firms to conduct business in financial markets while adhering to stringent compliance and operational requirements.

License Information:

• Type of License (RA): 1, 4, 6, 9
• No. of Trading Right(s): 2
• License Conditions:
  • T1, 4, 6: Nil
  • T9: Cannot hold client assets

Company Information:

• Company Established Since: 20 years
• Office Location: Hong Kong Island
• Office Rental: Sharing with holding company
• Office Lease Expiry: Nil

Shareholders & Company Structure:

• No. of Shareholders & Company Structure: 100% BVI structure

Staff & Responsible Officers (ROs):

• No. of Staff & ROs:
  • 4 ROs, staff total 6 (T1, 4, 9)
  • 2 ROs (T6)
• No. of ROs staying after transfer: Negotiable

Financial Status:

• Monthly Expenses: HK$250K
• Cash at Bank: HK$5M (HK$5 million)
• Recent Financial Statement Date: 2023-12-31

Buyer Requirements:

• Buyers must provide proof of funds before detailed discussions.
• At least one qualified Responsible Officer (RO) is required to be appointed.
• Background checks and compliance with SFC regulations are mandatory.
• The buyer should have a clear business plan aligned with the licensed activities.

List of SFC Regulated Activities (RA) Licenses

1. RA1 – Dealing in Securities
   • Includes brokerage, placing, underwriting of securities.
   • Requires substantial capital and compliance measures.
2. RA2 – Dealing in Futures Contracts
   • Includes trading and brokering of futures contracts.
   • Requires specific qualifications for ROs.
3. RA3 – Leveraged Foreign Exchange Trading
   • Covers forex trading on margin.
   • Typically applicable to financial institutions.
4. RA4 – Advising on Securities
   • Involves providing securities investment advice.
   • Commonly held by investment advisory firms.
5. RA5 – Advising on Futures Contracts
   • Covers advisory services for futures trading.
   • Requires deep industry knowledge.
6. RA6 – Advising on Corporate Finance
   • Includes advising on mergers, acquisitions, and takeovers.
   • Often held by investment banks and advisory firms.
7. RA7 – Providing Automated Trading Services
   • Covers electronic trading platforms.
   • Includes trading algorithms and fintech solutions.
8. RA8 – Securities Margin Financing
   • Allows firms to provide margin lending services.
   • Requires strong financial backing.
9. RA9 – Asset Management
   • Covers portfolio management and fund management.
   • Requires experience in investment management.
10. RA10 – Providing Credit Rating Services
    • Includes evaluating creditworthiness of securities issuers.
    • Typically held by rating agencies.