The new license permits the subsidiary to act as both principal and agent in securities transactions, providing professional investors with a broader array of trade execution and product distribution services. This regulatory milestone complements the firm’s previously held Type 4 and Type 9 licenses, which cover advising on securities and asset management. By integrating these functions, the company aims to offer a unified service chain for capital portfolios.
Management stated that the expansion strengthens the firm’s competitive position within the Hong Kong capital market. The company plans to leverage its existing strategic relationships to scale these operations while maintaining strict adherence to the transparency and investor protection standards required by the SFC. Since entering the asset management space in 2024, the Nasdaq-listed firm has focused on providing structured solutions for corporate and individual clients, moving beyond its roots in management consulting.
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