Name Win Wind Capital Headquarters Hong Kong Regulatory Authority Securities and Futures Commission (SFC) Type of License Type 1 (Regulated Activity) under SFC Services Offered - Securities Trading - Investment Products - Corporate Financing - Investment Management Notable Features - Access to Hong Kong and Shanghai Stock Exchanges - IPO Subscription Services - Margin Financing for Experienced Investors - Tailored Investment Management for High-Net-Worth Clients Customer Support - Customer Service Hotline: +852 3198 0622 - Email: info@oshidorisec.com - Address: 25/F, China United Centre, 28 Marble Road, North Point, Hong Kong Service Hours - Monday to Friday: 8:30 AM - 5:30 PM - Saturday, Sunday & Public Holidays: Closed Overview Win Wind Capital is a financial institution headquartered in Hong Kong and regulated by the Securities and Futures Commission (SFC). They provide a range of financial services, including securities trading, investment products, corporate financing, and investment management, catering to high-net-worth clients. Their services encompass access to both Hong Kong and Shanghai Stock Exchanges, IPO subscription services, margin financing, and tailored investment portfolio management. Customer support is available through a hotline, email, and written notices during business hours on weekdays. Regulation Win Wind Capital is subject to regulation by the Securities and Futures Commission (SFC). The SFC is a statutory body in Hong Kong responsible for overseeing the securities and futures markets, ensuring their integrity and protecting investors. Win Wind Capital, as a financial institution operating within Hong Kong's jurisdiction, is required to comply with the rules and regulations set forth by the SFC to maintain transparency and adherence to market standards. This regulatory oversight helps maintain the stability and trustworthiness of Win Wind Capital's operations in the financial sector. Pros and Cons Win Wind Capital offers a range of financial services, including securities trading, investment products, corporate financing, and investment management, with regulatory oversight by the Securities and Futures Commission (SFC). Here is a summary of the pros and cons of their services: Pros Cons 1. Regulatory Oversight by SFC: Ensures compliance with market standards and investor protection. 1. Limited Availability: Customer service not available on weekends or public holidays. 2. Diverse Financial Services: Offers a wide array of financial services, catering to high-net-worth clients. 2. Margin Financing Risks: Margin accounts involve higher risks and are suitable for experienced investors. 3. Access to Hong Kong and Shanghai Stock Exchanges: Allows trading in a variety of securities. 4. IPO Subscription Options: Provides options for IPO application and allocation tracking. 5. Investment Management for High-Net-Worth Clients: Tailored portfolio management services. 6. Multiple Order Placement Channels: Convenient access to trading tools. Win Wind Capital's comprehensive financial services are advantageous for clients seeking diversified investment options and professional portfolio management. However, it's essential to be aware of limited customer service availability on specific days and the associated risks with margin financing for less experienced investors. Services Win Wind Capital offers a range of financial services: Securities Trading: Win Wind Capital operates as a regulated securities trading company under the supervision of the Securities and Futures Commission (SFC) in Hong Kong. They hold a Type 1 regulated activity license from the SFC, catering primarily to high-net-worth investors. Their services include trading in securities listed on the Hong Kong Stock Exchange, which encompass exchange-traded funds, real estate investment trusts, investment companies, and stocks listed on the Shanghai Stock Exchange via the Shanghai-Hong Kong Stock Connect program. Investment Products: a. Hong Kong Stock Trading: Stock settlement typically occurs on the second business day (T+2) after the trade. Online account access for tracking trade execution and order status Trade confirmations Quote services Access to stock market information tools Multiple order placement channels b. IPO Subscriptions: Yellow Application Form for direct allocation of IPO shares through Hong Kong Central Clearing and Settlement System (CCASS). White Application Form for receiving physical IPO share certificates. Funds are deducted from the client's account on the IPO application deadline day. Clients can check allocation results through their online accounts or contact customer service. c. Margin Financing: Margin accounts allow investors to use borrowed funds from the brokerage to purchase securities. Margin ratios and additional fund requirements may apply if the margin position falls below the maintenance level. Corporate Financing: Win Wind Capital's subsidiary, Win Wind Capital Financing Limited, provides corporate financing solutions. They collaborate with the investment management department to offer innovative insights and strategies for equity financing, restructuring, and other financial transactions for both public and private companies. Investment Management: Win Wind Capital holds a Type 9 (Asset Management) license from the Hong Kong SFC. They provide comprehensive portfolio management services for ultra-high-net-worth clients. Professional portfolio experts tailor and manage diverse asset classes within portfolios, including Hong Kong-listed securities and various investment products managed by experts in different investment categories and regions, ensuring diversified investment strategies. For inquiries and more information about their services, clients can contact Win Wind Capital's customer service hotline at +852 3198 0622. Customer Support Win Wind Capital provides customer service support through various channels, including a telephone hotline, email inquiries, and written notices. Clients can reach their dedicated Customer Service Hotline at +852 3198 0622 during business hours, Monday to Friday from 8:30 AM to 5:30 PM. For online inquiries, clients can email them at info@oshidorisec.com. Additionally, written notices can be sent to their Customer Service Department at their physical address: 25/F, China United Centre, 28 Marble Road, North Point, Hong Kong. Please note that their services are not available on Saturdays, Sundays, or public holidays. The company aims to assist clients with their needs promptly and efficiently through these communication channels. Summary Win Wind Capital is a financial institution based in Hong Kong that operates under the regulation of the Securities and Futures Commission (SFC). The SFC is responsible for overseeing the integrity of the securities and futures markets and safeguarding investor interests in Hong Kong. Win Wind Capital offers a range of financial services, including securities trading, investment products such as Hong Kong stock trading, IPO subscriptions, margin financing, corporate financing solutions, and investment management services tailored for ultra-high-net-worth clients. They maintain transparency and adherence to market standards to ensure the stability and trustworthiness of their operations. Customer support is available through various channels, including a dedicated hotline and email inquiries during business hours. Written notices can also be sent to their Customer Service Department. However, their services are not available on weekends or public holidays. For more information, clients can contact Win Wind Capital's customer service hotline at +852 3198 0622. FAQs Q1: What is Win Wind Capital's regulatory oversight？ A1: Win Wind Capital is regulated by the Securities and Futures Commission (SFC) in Hong Kong, ensuring compliance with market standards and investor protection. Q2: What services does Win Wind Capital offer？ A2: Win Wind Capital provides securities trading, including Hong Kong and Shanghai Stock Exchange access, IPO subscriptions, margin financing, corporate financing solutions, and investment management for high-net-worth clients. Q3: How can I check the status of my IPO application with Win Wind Capital？ A3: You can check your IPO application status through your online account or contact their customer service hotline at +852 3198 0622. Q4: What is the settlement period for stock trades with Win Wind Capital？ A4: Stock settlement typically occurs on the second business day (T+2) after the trade. Q5: What are the contact options for customer support at Win Wind Capital？ A5: You can reach their dedicated Customer Service Hotline at +852 3198 0622 during business hours or send inquiries to info@oshidorisec.com. Written notices can be mailed to their Customer Service Department at 25/F, China United Centre, 28 Marble Road, North Point, Hong Kong. Please note that services are not available on weekends or public holidays.