牵手融e邦，资本运作很简单。据悉华赢证券于2023年5月22日向美国证监会(SEC)递交招股书，拟在纳斯达克上市，股票代码为：SWIN，公司是香港为数不多的以中国投资者为中心的多功能证券经纪公司之一。公司计划以4-6美元/股发行300万股普通股，预计募资1500万美元。
招股书地址：https://www.sec.gov/Archives/edgar/data/1959224/000121390023042019/ea178959-f1a1_solowinhold.htm#a_010
中介团队介绍：
承销商：EFHutton,divisionofBenchmarkInvestments,LLC
审计师：WWC，P.C.
公司中港美律师：信达律所、刘林陈律师行、Bevilacqua PLLC
承销商律师：Winston & Strawn LLP
商业概述
Solowin是一家豁免有限责任公司，于2021年7月23日根据开曼群岛法律成立。作为一家控股公司，Solowin没有自己的重大业务，主要通过其全资子公司Solomon JFZ（一家在香港特别行政区注册成立的有限责任公司）开展业务。有关我们运营结构的更多信息，请参阅第7页开始的“我们的公司历史和结构”。
所罗门JFZ是香港为数不多的以中国投资者为中心、多元化的证券经纪公司之一，它通过其先进、安全的一站式电子平台提供广泛的产品和服务。目前，Solomon JFZ主要为我们的客户提供（i）证券相关服务，（ii）投资咨询服务，以及（iii）资产管理服务。Solomon JFZ获得香港证监会和香港证券交易所参与者的许可，可以开展受监管的活动，包括第1类（证券交易）、第4类（证券咨询）、第6类（公司财务咨询）和第9类（资产管理）。它严格遵守香港证监会关于内部监管和风险控制的要求，以最大限度地确保投资者资产的安全。Solomon JFZ通过其前端交易和后台清算系统以及Solomon Pro提供在线开户和交易服务，Solomon Pro是一款高度集成的应用程序，可通过任何移动设备、平板电脑或台式机访问，所有这些都是从第三方授权的。凭借强大的财务和技术能力，所罗门JFZ一直为居住在中国境内外的全球中国投资者和香港的机构投资者提供经纪服务，并得到了用户和行业专业人士的认可和赞赏。
所罗门JFZ的交易平台允许投资者交易超过10000种在香港证券交易所（HKSE）、纽约证券交易所（NYSE）、纳斯达克、上海证券交易所和深圳证券交易所上市的证券及其衍生产品。此外，该公司还提供香港IPO承销、香港IPO公开募股申请和国际配售认购、香港IPO保证金融资服务、香港Pre-IPO证券交易和美国IPO认购。香港首次公开募股融资服务是指持牌金融机构向客户提供的贷款，目的是在发行人在香港联交所上市之前购买首次公开募捐中的证券。该贷款通常被称为IPO贷款，使客户能够投资超过5%或10%的资金存款。该贷款是一种短期的有息贷款，通常占投资金额的90%或95%。在分配结果发布后立即偿还贷款。一旦投资者以超过所需存款的成本分配股票，并且部分贷款用于股票，股票就可以出售，所得款项用于偿还金融机构的贷款，剩余余额归投资者所有。我们的客户还可以使用Solomon JFZ的平台交易各种上市金融产品，如ETF、认股权证和可赎回牛/熊合约。除了证券相关服务外，Solomon JFZ还作为投资经理提供资产管理服务。其高净值客户也可以通过Solomon JFZ认购私募基金产品。
我们的客户主要是居住在亚洲的中国投资者以及香港、澳大利亚和新西兰的机构客户。截至2022年9月30日，我们有超过19000名用户，其中包括15000多名在Solomon JFZ开立交易账户的客户。我们目前有1500多个活跃客户，这些客户都是注册的客户，他们的交易账户中有资产。
CORPORATE HISTORY AND STRUCTURE（股权构架）
● Vulcan Worldwide Holdings Limited directly owns 3,960,000 Ordinary Shares. Xiaohang Zhang is the 100% beneficial owner of Vulcan Worldwide Holdings Limited as of the date of this prospectus.
●Gemini Asia Holdings Limited directly owns 4,080,000 Ordinary Shares. Ling Ngai Lok (“Mr. Lok”) is the 100% beneficial owner of Gemini Asia Holdings Limited as of the date of this prospectus.
●FORTUNE DYNASTY GLOBAL LIMITED directly owns 3,960,000 Ordinary Shares. Xue Yao (“Ms. Yao”) is the 100% beneficial owner of Fortune Dynasty Global Limited, as of the date of this prospectus.
●The following table shows the percentage of holding the public shareholders will have post-IPO, assuming 3,000,000 Ordinary Shares issued in the IPO and no exercise of over-allotment option:
MANAGEMENT（主要管理）
Directors and Executive Officers
The following table sets forth certain information regarding Solowin’s directors and executive officers.
Shing Tak Tam, CFA. Mr. Tam has served as Solowin’s Chief Executive Officer and director since June 2022 and Solomon JFZ’s Director since July 2019 and Responsible Officer since September 2019. Mr. Tam is mainly responsible for Solomon’s Overall Management Oversight and formulating overall business strategies.
Mr. Tam has over 13 years of experiences in the securities brokerage industry. Prior to joining Solomon JFZ (Asia) Holdings Limited in 2019, he worked in several major securities brokerage firms, i.e., Bright Smart Securities, Sun Hung Kai Investment Services and Zhongtai International Securities Limited. His expertise includes the functions of securities dealer, compliance, risk management, asset management, research and advisory services activities. Mr. Tam graduated from the City University of Hong Kong in 2008 with a Bachelor of Business Administration. He is currently a chartered member of the CFA Institute and The Chartered Institute for Securities & Investment in the UK.
Lili Liu.Ms Liu has served as Solowin’s Chief Financial Officer since June 2022 and Solomon JFZ’s Chief Financial Officer since November 2021. She has been specializing in Solomon JFZ’s financial and internal control. Prior to joining us, Ms. Liu has served as the Risk Manager and Internal Audit Manager of Shenzhen Huihua Jincheng Asset Management Co., Ltd, a private equity firm from 2017 to 2019. From 2011 to 2016, Ms. Liu served as the Chief Financial Officer at Henan Guangyuan Landscape Co., Ltd, a construction company in Henan Province in China, where she was mainly responsible for the financial management and internal control. From 2007 to 2009, Ms. Liu served as an Operation Manager in ATM Business Department of JiangSu HengBao Co., LTD., a company listed on the Shenzhen Stock Exchange. Ms. Liu obtained her master’s degree in Economics from University of International Business and Economics in Beijing in 2007. She further obtained a second master’s degree in financial engineering in City University of Hong Kong in 2021.
Ling Ngai Lok.Mr. Lok served as Solowin’s director from July 2021 to June 2022 and Solomon JFZ’s Director since January 2019. On November 28, 2022, Mr. Lok was re-appointed as director and became Chairman of Solowin on November 29, 2022. He has been the General Partner in Grow World LPF since February 2021 and Grow World II LPF since March 2021. He oversees operation of the LPF, including engaging Fund Administrator, Fund Managers and Custodian. He has been the Fund Director in Solomon Capital Fund SPC since March 2019, oversees operation of the SPC Fund and review and evaluate the performance of the fund. Mr. Lok’s expertise is in the area of Finance, Fund Management, Capital Market and fund-raising, this contributes significantly to the growth of Solomon in terms of capital.
Tze Bun Cheng. Mr. Cheng has served as Solomon JFZ’s Operation Director since December 2019 and Solowin’s Chief Operation Officer since June 2022.
Mr. Cheng has 10 years of experiences in the securities brokerage and investment industry where he mainly focused on financial services, administrative and management functions. Prior to joining Solomon in 2019, he has worked as a RO since 2016 in several securities brokerage companies such as Grand China Securities, Riche Bright Securities and DA International Financial Services.
Mr. Cheng graduated with a master’s degree in Accounting & Finance from Kingston University in 2009