Hong Kong Securities Trading, Consulting, and Asset Management: Sales and Transfer Information for Block 1, 4, and 9
Hong Kong securities trading, consulting and asset management No. 1, 4 and 9
Basic Information
License plate type
Hong Kong license plates No. 1, 4, and 9
Issued Area
Hong Kong
s
SFC
Validity period
Continuously valid (annual review required)
price range
bargain
License renewal time
2025 January 9
Licence Details
Basic Information
| License Company License |
HK SFC Type 1 (Dealing in Securities), Can managing Public Funds
Stock Exchange Trading Rights (HKEX Participant, HKEX Securities Trading Rights, OTP-C Broker), |
| SFC License Since Date of obtaining SFC license |
Year 2022 2022 |
| License conditions Licence conditions |
No condition (can hold client assets, no any professional investor condition, etc) No restrictions (can hold client assets, no professional investor restrictions, etc.) |
| Fund Management on Public Funds Manage mutual funds |
Currently managing a few Public Funds, These Public Funds are HK SFC regulated and authorized funds (collective investment schemes) that are listed on the HK Stock Exchange Currently manages several mutual funds that are regulated and authorized by the Hong Kong Securities and Futures Commission (collective investment schemes) and listed on the Hong Kong Stock Exchange |
| Public Disciplinary Public disciplinary action |
No Don't Have |
| Number of Shareholders (Natural Person/Corp) Number of shareholders (natural persons/companies) |
Ultimate beneficiary is 1 shareholder (natural person), can add holding company if needed. The ultimate beneficiary is one shareholder (natural person). If a holding company is added, this can be negotiated. |
| No. of Responsible Officers(ROs) & Representatives Number of responsible officers/licensed representatives |
Around 3 Responsible Officers & 5 Representatives There are approximately 3 licensed persons in charge + 5 licensed representatives |
| Net Asset Value net asset value |
Around HK$20-30m Approximately HK$2,000-3,000 million |
| Office office |
Negotiable / Buyer can arrange Negotiable / Buyer can arrange it themselves |
| Profitability over past year Past operating conditions |
Slight loss Slight loss |
| Financial Status Financial status |
Audited reports and management accounts are available Audit reports and management accounts available |
| Opened Bank accounts Opened bank account |
4 to 5 major banks Large banks (4 to 5) |
| Staff for staying after the transaction Employees who remain after the company is sold |
Responsible Officers (ROs) and other staff can remain in place. Licensed Responsible Officers (ROs) and team members may negotiate to continue in their positions. |
| Remarks Notes |
Good license record, No regulatory penalties, No enforcement issues. Good license record, no regulatory penalties, no lawsuits, etc. |
| The above information and data are for reference only and are subject to change without further notice. The above information and data are for reference only and are subject to change without prior notice. |
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