香港九号牌照主要用于境外投融资业务。香港《证券及期货条例》所规定的“资产管理”指房地产投资计划管理或证券或期货合约管理。
in，“房地产投资计划管理”就任何人而言,指该人为另一人提供营办集体投资计划的服务,而在该计划下管理的财产主要由不动产组成，同时该计划是根据《证券及期货管理条例》“证券或期货合约管理”就任何人而言，指该人为另一人提供管理证券或期货合约投资组合的服务。
申领牌照注册成立必须是在香港注册成立的公司或在香港公司注册处注册的非香港公司。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"。负责人员就每类你所申请的受规管活动而言,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。
大股东等须具备适当人选的资格你的大股东人员、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。
你在任何时候都必须就你所申请获发牌照的受规管活动类别,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,你应该维持的低缴足股本及速动资金,将以你所申请的有关受规管活动的规定金额中的较高者或高者为准。
持牌法团就每类受规管活动所须维持的缴足股本及速动资金的低数额的摘要。受规管活动第9类正常情况缴足股本的低金额$5,000,000；Related products：香港1-9号牌
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