Hong Kong SFC License (Type 1,4,9)

License expiry date: No limitation
Business nature:
– HK and US Stock Brokerage
– HK And Global Futures Brokerage Low Latency Warrant Trading System Gold Market Marker of HKEX
– US Stock Cross-Market Trading System
– Securities Trading Consultation Services
– Futures Trading Consultation Services
– Discretionary Account Management
– Investment Education

Type of License (Regulated Activity) – Type 1,4,9
License Conditions – T9 – Not conduct business involving the discretionary management of CIS

Company Information
1) Established since 1987
2) Office Location – Hong Kong Island
3) Office Monthly Rental – HKD 23k until April 2022
4) Number of Shareholders – 4
5) Current Number of Staff – 5
6) Will ROs stay post transfer – Yes, negotiable
7) Company Profitability over past 3 years – Loss
8) Average Monthly Profit/ Loss – Loss
9) Recent Audited Statement – HKD 5,200,000
10) NAV – HKD 5,200,000
11) Paid-Up Capital – HKD 40,000,000
12) Liability – None
13) Number of Clients – Over 270 clients (less than 30 active)
14) Able to add on permissions

Type 1 Information (If applicable)
1) Number of Trading Rights – 1
2) Cash/Margin Trading – Cash and Margin
3) Broker Supplied System – Yes
4) HKEX Counter – No
5) Trading Systems – Ayers
6) Internet Trading – Ayers

-Type 1, Dealing in Securities (HK Stock Trading, US Stock Trading, Margin Financing)
-Type 2, Dealing in Futures Contracts (HK Futures and Options, Global Futures and Options.)
-Type 4, Advising on Securities
-Type 5, Advising on Futures Contracts
-Type 9, Asset Management (For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term “collective investment scheme” is as defined under the Securities and Futures Ordinance.)
-HKEX Stock Trading Right
-HKEX Futures Trading Right
-HKEX Direct Clearing Participant of HKSCC (Securities)
-HKEX Clearing Participant of HKCC (Futures)

*Proof of funds required as well as KYC of the potential entity or beneficial owner interested in purchasing this firm


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