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香港9号金融牌照代办申请条件

Financial card care question

详细介绍港信通彭易Aaron说如果您在香港有参与资产管理类业务的话您就需要办理香港9号金融牌照了

香港9号金融牌照是资产管理类牌照可以管理证券和期货合约的投资第九类牌照:An asset management license is used to manage securities or futures contract investment portfolios for customers on a discretionary basis and to manage funds on a discretionary basis.:Able to help overseas customers manage assets,It is a type of Hong Kong financial license sought after by large mainland private equity institutions.。

Among the many investors who inquire about the Hong Kong No. 149 license agency,Many are looking for companies with RO,But actually,If the company also holds a 149 license,Only 3 ROs are needed,Can be shared across individual posts,那香港149号牌办理需要什么条件?下面详细分析国内如何办理香港149号牌金融牌照?需要什么条件?

Application conditions

一.注册成立:Must be a company incorporated in Hong Kong or an overseas company registered with the Hong Kong Companies Registry。二.胜任能力:You must satisfy the SFC that you have 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。

三.负责人员每类所申请的受规管活动而言必须委任少两名负责人员直接监督你拟进行的有关活动。1.每类所申请的受规管活动而言,There must be at least one responsible person who can supervise the relevant 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。

2.Among the responsible officers to be appointed,At least one must be an executive director as defined in the Securities and Futures Ordinance。3.所有的执行董事必须向证监会寻求核准以成为隶属于你(身为法团)的负责人员。4.须在递交牌照申请时向证监会一并递交所有拟成为你的负责人员的核准申请,for consideration by the Securities and Futures Commission。

The above is some of Hong Kong Xintong International’s experience in handling the No. 149 license.,If you need to apply for a Hong Kong No. 149 license, you can consult Hong Kong Xintong International to apply for it.。


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

Editor of this issue:

Picture of Aaron Pengyi

Aaron Pengyi

2009Graduated from Cambridge University, UK,Singaporean,Hong Kong permanent resident。

Engaged in cross-border financial and corporate compliance consulting for 16 years,Focus on various types of license applications in Hong Kong (149、9Number、MSO、insurance broker、moneylender)、Offshore company registration (BVI、Japan、Singapore、Taiwan、UK) and offshore fund establishment。

Good at efficient compliance solutions and cross-border architecture planning,Has served more than 1,000 companies。

If you encounter difficulties in cross-border financial business,please contact me。

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