Analysis of Hong Kong No. 9 Financial License Application Requirements and Process Thresholds with Application Guidelines

Trusted content：提供香港1-9号金融牌照的申请（包括但不仅限于

Application conditions

、

Application process

、Application threshold)。Provide transfer resources for Hong Kong financial licenses No. 1-9，同时收购香港1-9号金融牌照资源。

另：我司国际提供国内系列金融牌照的申请，含：Private equity fund license application (transfer)、Application for public fund license (transfer)、Fund sales license application and transfer、Insurance intermediary license application and transfer。：（深圳）国际市场顾问彭易经理鉴于国内私募基金发展迅猛，And domestic institutions are currently very enthusiastic about the layout of Hong Kong’s No. 9 asset management license.，This article will focus on Hong Kong’s Asset Management License No. 9。

Apply for Hong Kong Asset Management License No. 9，Conditions to be met：

1. Must demonstrate that it has an appropriate business structure、Good internal control system and qualified personnel，To ensure proper risk management and compliance with relevant rules and regulations。
2. There are two responsible persons。In terms of nationality of licensed individuals and responsible officers，There are no restrictions or special regulations from the Securities Regulatory Commission。
3. At least one responsible officer of the asset management company must be a member of the board of directors，However, if other board members are not actively involved in or responsible for direct supervision of asset management activities，They do not necessarily need to be licensed to be responsible persons in the asset management business。
4. Except for the person in charge，Any person who is a licensed asset management company or conducts asset management activities on its behalf must be licensed as a representative。

After Shanghai-Hong Kong Stock Connect，Shenzhen-Hong Kong Stock Connect opened，Further stimulate mainland asset management institutions to rush to enter the Hong Kong market，Introduce overseas investors by setting up a company in Hong Kong。据国际知悉，At this stage, a large number of domestic private equity institutions are actively planning to rush to Hong Kong to apply for a Hong Kong financial license.，in，The most popular one is Hong Kong’s Asset Management License No. 9。

The Hong Kong market implements a financial license management system，Financial institutions can carry out financial derivatives at the same time、Trading in foreign exchange and gold，But you need to apply for a license。Specifically，There are 1-10 types of financial licenses，Among them, License No. 9 is a Type 9 regulated business qualification license issued by the Securities and Futures Ordinance of Hong Kong.，i.e. asset management license。

All management companies that provide services in managing portfolios of securities or futures contracts in Hong Kong，Including funds，All companies must first obtain a "No. 9 License" from the Hong Kong Securities Regulatory Commission.。

Recently，With the application for Hong Kong financial license No. 1-10，Gradually flourishing in the country，国际作为专注于国内的金融牌照申请专业机构，At this stage, in terms of financial licenses in Hong Kong，Also continuing to pay attention，Designed for domestic and overseas financial institutions、以及各界投资者提供更优质的顾问服务。

国际分析到，Domestic private equity institutions go to Hong Kong to apply for No. 9 asset management license，The following six points will be formed

Advantages

：

1. After Hong Kong Asset Management (No. 9) License，Companies will be eligible to offer shares to domestic and foreign institutions、fund、Bond and other investment portfolio management services。
2. Use Hong Kong asset management platform，This company can not only develop more overseas real estate or stock funds and other products，We can also launch value-added services such as investment immigration and investment，Provide more diversified services to high net worth clients。
3. Overseas investors are more sensible，Once funds are selected，Very stable for long-term holding。Overseas investors are concerned about performance

Require

looser。

domestic

Require

Only when positive income hits a new high can floating income increase by 20%，Overseas rules

Require

You can withdraw profits if it exceeds the international mainstream stock index.。将

1. Private equity institutions can participate in overseas investments，On the one hand, it expands the scope of investment targets，On the other hand, the investment atmosphere in overseas markets is relatively rational and the operating system is complete.，Create a better investment environment for domestic private equity institutions that pursue value investment concepts。
2. Establishing an investment company in Hong Kong offers tax benefits compared to those in China.，Many private equity institutions are currently registered in the Cayman Islands，At the same time, a fund management (Hong Kong) company is established in Hong Kong.，Can greatly reduce the tax burden。
3. After private equity institutions have accumulated sufficient operational experience and investment experience in the international market,，Can cultivate a more mature operating model and management team，Conducive to improving the company's own competitiveness，Officially entered the ranks of international asset management companies。

At this stage，To obtain Hong Kong license No. 9，There are two main ways：One is to set up a subsidiary in Hong Kong，二是直接收购一家已经成功申请到9号牌照的公司。通过市场调查，国际从已获得香港9号牌的内地私募管理人处了解到，目前内地已拥有9号牌的私募机构通过直接收购的方式获取9号牌照进入国际市场的做法，目前比较少。

generally，Larger mainland private equity institutions will be more inclined to set up subsidiaries in Hong Kong to obtain the Hong Kong No. 9 license plate，On the one hand, the names of Hong Kong subsidiaries and mainland private equity institutions can be consistent or similar.，Conducive to brand building。on the other hand，Obtaining the No. 9 financial license and initiating application for the license through direct acquisition

cost

expenses、以及时间各方面的综合成本并无太明显区别。

therefore，国际建议境内拟发起申请香港9号牌照的私募机构，可根据自身的实际情况，来选择牌照取得方式。

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