Hong Kong No. 9 license is mainly used for overseas investment and financing business。"Asset management" as stipulated in Hong Kong's Securities and Futures Ordinance refers to the management of real estate investment plans or the management of securities or futures contracts。
in，"Real Estate Investment Plan Management" for anyone,means that the person provides services for another person to operate a collective investment scheme,While the properties managed under the scheme consist primarily of real estate，At the same time, the scheme is under the "Management of Securities or Futures Contracts" in relation to any person under the Securities and Futures Administration Ordinance，means that the person provides services for another person to manage a portfolio of securities or futures contracts。
To apply for a license, you must be a company incorporated in Hong Kong or a non-Hong Kong company registered at the Hong Kong Companies Registry.。CompetenciesHave a suitable business structure、Good internal control system and qualified personnel,Sufficient to ensure that when you conduct your proposed business as detailed in your business plan,Ability to appropriately manage risks that may be faced。
Details about this,You may refer to the following documents issued by the Securities and Futures Commission："Guidelines on Competence";Code of Conduct for Persons Licensed or Registered with the Securities and Futures Commission;and "Applicable to the Management of Persons Licensed or Registered by the Securities and Futures Commission"、Supervision and Internal Control Guidelines"。Responsible Officer for each type of regulated activity for which you are applying,You must appoint at least two responsible officers to directly supervise the relevant activities you intend to carry out。
For each type of regulated activity for which you are applying,You must have at least one responsible person who can supervise the business at all times。As long as the appointee is a suitable candidate and the relevant arrangements do not create role conflicts,The same person can be appointed as a responsible officer for more than one type of regulated activity。Among the responsible officers you intend to appoint,At least one must be an executive director as defined in the Securities and Futures Ordinance。
All your executive directors must seek approval from the SFC,to become yours(as a corporation)responsible person。When submitting your license application, you must,Submit all approval applications for all proposed responsible officers to the SFC together,for consideration by the Securities and Futures Commission。
Major shareholders, etc. must have appropriate qualifications. Your major shareholder personnel、any other person who is or will be employed in relation to the regulated activity to which your application relates,or any other person with whom you have or will have contact in connection with such activities,must be suitably qualified。For details, please refer to Section 129 of the Securities and Futures Ordinance。
At all times you must,Maintain your paid-up share capital and liquid capital at no less than the Securities and Futures(financial resources)the relevant amount specified in the Rules。 If you apply for more than one type of regulated activity,Low paid-up equity and liquid capital you should maintain,The amount you apply for in relation to the regulated activity, whichever is higher or higher。
Summary of the minimum amounts of paid-up share capital and liquid capital required to be maintained by licensed corporations for each type of regulated activity。Regulated Activity Category 9 Normally Low Amount of Paid-up Share Capital $5,000,000；Related products：Hong Kong No. 1-9
Application conditions
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