Hong Kong SFC Type 1,4,9 License #1008 For Sale

An established and fully operational Hong Kong SFC-regulated firm with Type 1, 4, and 9 licenses is now available for acquisition. This firm has been in operation since 2011 and offers a range of financial services, including securities brokerage, fund management, discretionary account management, Open-ended Fund Companies (OFC), and Limited Partnership Funds (LPF).

Key License Details

• Type of License (RA): Type 1, 4, 9
• License Conditions: Nil
• Established Since: 2011
• Office Location: Hong Kong Island
• Office Monthly Rental: Buyer needs to find a new office
• Expiry of Tenancy: Termination without notice

Corporate Structure

• Company Structure:
  • 1 Hong Kong holding company
  • 1 subsidiary company with Type 1, 4 licenses
  • 1 subsidiary company with Type 9 license
• Total No. of Staff: 5 (including 2 Responsible Officers)
• Total Monthly Salary Expense: Approximately HK$170,000
• No. of Responsible Officers (ROs): 2
• ROs Staying After Transfer: Yes

Financial Overview

• Total Monthly Expenses: Approximately HK$170,000
• Cash at Bank: Approximately HK$8.4 million
• Internet Trading System: Ayers
• Cash/Margin Trading: Cash & Margin
• Last SFC Audit: Type 1, 4 – October 2024

Compliance and Legal Status

• Public Disciplinary Action: Nil
• Litigation: Nil

Buyer Requirements

The prospective buyer must satisfy the Securities and Futures Commission (SFC) fit and proper requirements to ensure compliance with Hong Kong’s regulatory framework. The firm offers a rare opportunity to acquire an established, fully operational financial services entity with a strong regulatory standing and a solid financial position.