Funds / Investment

Japan Investment Assistance and Agency Industry (IAA) / investment advisory license) by<a href="https://www.fsa.go.jp/policy/marketentry/guidebook.html" rel="nofollow">Japan Financial Services Agency (FSA)</a>and local financial bureau supervision in accordance with the law。Authorized licensed entity based on investment advisory contract，Legally provide substantial investment advice to clients on "value of securities" or "value analysis of financial products"，And can act as an intermediary agent to sign an investment contract。This license exempts conventional asset management licenses from the law. 5,000 Strict net worth threshold of 10,000 yen (only legal withdrawals are required) 500 10,000 yen business deposit)，No mandatory board of directors，And qualified foreign-invested institutions can apply for the FMEO full English application and supervision channel。Hong Kong Huitong provides applying entities with coverage for the establishment of local companies.、Executive fitness (Fit & Proper) review coaching、Compliance internal rules preparation and full-case legal agency services for FMEO pre-trial defense in English。

Japanese fund management license (legal name：investment application industry) by<a href="https://www.fsa.go.jp/en/policy/marketentry/guidebook.html" rel="nofollow">Japan Financial Services Agency (FSA)</a>and the local finance bureau authorizes and supervises according to law。Authorizes licensed entities to legally carry out discretionary investment and fund asset management businesses in Japan。According to the "Financial Instruments and Exchange Act"，The statutory minimum capital and net asset thresholds for regular licenses are 5000 Ten thousand yuan；If you apply for a "special license for qualified investors" (management scale ≤ 20 billion yen)，The legal net worth threshold is lowered to 1000 Ten thousand yuan，It is also exempted from the establishment of a board of directors in accordance with the law and allows legal outsourcing of compliance and risk control services.。Hong Kong Huitong provides applying entities with coverage of local companies (KK) set up、Executive fitness (Fit & Proper) interview coaching、Compilation of business method sheets and internal control procedures，As well as full-case legal agency services for FMEO’s full English regulatory communication and defense。

Since September 2019，<a href="https://www.ia.org.hk/sc/supervision/reg_ins_intermediaries/licence_application.html" rel="nofollow">Hong Kong Insurance Authority(IA)</a>Become a single regulator。Promote insurance policies as an “insurance broker” in Hong Kong、Provide advice or arrange claims，Must apply for a Hong Kong insurance broker license。This guide will give you a comprehensive breakdown of everything from capital to、Responsible person(RO)to all rigid requirements for internal control and compliance。

Hong Kong’s Type 1 license (securities trading) is issued by the Hong Kong Securities and Futures Commission (SFC) in accordance with the Securities and Futures Ordinance (SFO) officially implemented in 2003.，It is the core access qualification for Hong Kong’s capital market.。Licensed corporations are allowed to execute securities transactions on behalf of clients、Providing securities margin financing and fund distribution。Under the Financial Resources Rules (FRR)，The applicant corporation must maintain a paid-up share capital of HK$5 million to HK$10 million and liquid capital of HK$3 million.。Corporations must establish substantial physical offices in Hong Kong，and appoint at least 2 Responsible Officer (RO) and 8 Project Core Function Manager (MIC)。in recent years，SFC establishes regulatory framework for virtual assets (VA)，1Number plate becomes the legal prerequisite for traditional institutions to conduct VA transactions。Hong Kong Huitong provides coverage for corporate establishment、RO/MIC fitness (Fit & Proper) match、Legal agency services for business plan preparation and SFC inquiry (Requisitions) defense。

According to the Securities and Futures Ordinance，Operating futures contract trading and brokerage services in Hong Kong must be licensed by the SFC。This guide has been compiled by Hong Kong Huitong’s senior compliance experts，An in-depth breakdown of the core application conditions for No. 2 license、Dual-track approval process、Cost details，and statutory exemption rules for innovative businesses such as Bitcoin futures。

According to Hong Kong’s Securities and Futures Ordinance (Schedule 5)，Providing securities investment advice or publishing research reports in Hong Kong，Must be issued a Type 4 license。Hong Kong Huitong provides you with everything from corporate establishment to、RO configuration、Compliance plan writing，One-stop legal licensing and compliance consulting services to M&A due diligence (DD) and virtual asset (VA) business upgrades。

According to Hong Kong’s Securities and Futures Ordinance (Schedule 5)，Provision of asset management services in Hong Kong (including real estate investment plan management、Securities or futures contract management)，Must be issued a Class 9 license。Hong Kong Huitong provides you with everything from corporate establishment to、RO configuration、Compliance plan writing，One-stop legal licensing and compliance consulting services to M&A due diligence (DD) and virtual asset (VA) business upgrades。

U.S. registered investment advisers (RIAs) are strictly regulated by the U.S. Securities and Exchange Commission (SEC) or state securities departments。Only institutions with RIA licenses，Only those who are qualified to provide investors with investment service suggestions on securities products、Provide regular reports and legally charge management fees。Hong Kong Huitong provides you with registration from overseas companies、Series 65 exam coaching、One-stop statutory compliance licensing service for IARD system reporting and submission of Form ADV。

The regulatory standards of the U.S. Securities and Exchange Commission (SEC) are regarded as global benchmarks。Whether it is raising funds through security token issuance (STO)，Or provide securities investment advice (RIA)，Companies must pass strict SEC approval and filing。Hong Kong Huitong provides you with the establishment of a US entity、Exemption route planning (Reg D/S/A+)、One-stop in-depth compliance service from EDGAR system reporting to subsequent annual review。

Singapore’s financial industry implements mixed operations and unified license management。The Monetary Authority of Singapore (MAS) is the core of the financial regulatory system，Fully responsible for financial industry access and financial institution registration。Engage in fund management activities in Singapore，Must hold a Capital Market Services (CMS) license。Hong Kong Huitong provides you with corporate establishment based on the Securities and Futures Act、License application (LFMC/VCFM/RFMC)、One-stop professional legal and compliance services for compliance, internal control and tax planning。