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Hong Kong’s No. 9 financial license package and the purpose of No. 9 asset management

Financial card care question

Hong Kong’s No. 9 financial license package and the purpose of No. 9 asset management. Hong Kong’s No. 9 financial license is currently on the rise.,The day before yesterday, I had a client who was doing foreign exchange.,They said they need to apply for a No. 9 financial license。

I told him then,要是他能满足条件就是最好的,Must have an asset management license holder、Need Hong Kong venue, etc.,其实最难的就是持牌人,This qualification is relatively difficult to obtain.,What's the reason?,First you need to pass the exam,This exam is definitely not easy,Then you need five years of industry experience, etc.。Of course we can do it all, but the price will be higher.,具体详细情况可以电话我

1-9号牌详解1号牌:Securities trading 1. Providing trading/brokerage services for stocks and stock options 2. Buying and selling bonds for clients 3. Buying/selling mutual funds and unit trust funds for clients Placing and underwriting securities No. 2:Futures contract trading 1. Provide customers with the buying and selling of index or commodity futures 2. Provide customers with index or commodity futures brokerage services 3. Buy or sell futures contracts for customers 3.:Leveraged foreign exchange trading uses margin trading to conduct foreign exchange transactions for customers No. 4:Providing advice on securities 1. Providing investment advice to clients on selling or buying securities 2. Issue research reports or analyzes on securities No. 5:Provide advice on futures contracts 1. Provide investment advice to clients on selling or buying futures contracts 2. Issue research reports or analyzes on futures contracts No. 6:就机构融资提供意见1为上市申请人担任首次公开招股的保荐人2就公司收购合并及股份购回守则提供意见3就上市规则的合规事宜为上市公司提供意见7号牌:No. 8, an electronic trading platform that provides automated trading services to match customer orders.:Provide securities margin financing to customers who buy stocks and use the customer's stocks as collateral 9Plate:提供资产管理以全权委托形式为客户管理证券或期货合约投资组合以全权委托形式管理基金实事新闻资产管理 内地私募申请香港9号金融牌照成热点香港9号金融牌照究竟是什么,What is the charm that attracts one mainland private equity firm after another?

Hong Kong financial license classification and

Application process

,How to officially obtain No. 1 from the Hong Kong Securities and Futures Commission、2Number、4Number、6No. 9 financial license,How to become a Hong Kong financial institution with international asset management business qualifications and securities investment service qualifications,Special interview with Ms. Chen, CEO of Junhui International Consultants,Provide reference for mainland enterprises to apply for financial licenses in Hong Kong。

公司简介彭易经理专业办理各类金融牌照,Including Hong Kong insurance broker license、Private equity fund license、insurance broker license、insurance agent license、Insurance adjuster license、Commercial factoring license、 Financial leasing license、pawn shop license、Financing guarantee license、Chamber of Commerce、Pay license、Crowdfunding company license、Credit reporting license、Internet financial brand,The company can also provide various financial license transfer services。


About Hong Kong Xintong

Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong Kong MSO Licenseandmoneylenders licenseApply for service,Assist customers to applyUS MSB license、NFA、RIA、Canadian MSB license、Mainstream overseas financial licenses such as Australia and Mexico,Support enterprises to achieve compliance expansion of cross-border financial business。Also availableCayman Islands Offshore Company Registration、Offshore fund establishment and global compliance operations and other services,Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more,Please contactHong Kong Information Communications Consultant

Editing of articles in this issue:

Picture of Zhou Haoming

Zhou Haoming

Zhou Haoming has experience in the fields of asset management and securities regulatory compliance in Hong Kong. 8 years of experience,Served in key business and compliance positions in a licensed asset management company。He is familiar with the Hong Kong Securities and Futures Commission (SFC) regarding 9 Application conditions for asset management license、Risk control framework requirements、internal compliance system、Compliance rules such as portfolio management control and officer qualification requirements。Zhou Haoming is good at formulating internal compliance manuals and ongoing operational compliance processes that comply with the Securities and Futures Ordinance.。

Areas of expertise:SFC 9 Application for number license、risk control framework、Officer qualification requirements、Securities and Futures Ordinance、Internal Compliance Manual。

Previous institutions:Hong Kong licensed asset management company & SFC Compliance Team

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