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Analysis of the conditions for applying for Hong Kong No. 9 plate

Financial card care question

Whether you are paying attention to、About to engage in、Companies and individuals already engaged in the financial industry know that Hong Kong is the leader in the financial industry,with new york、London ranks among the world's three largest financial centers。To prepare for the Hong Kong No. 9 license plate application, you must first understand the conditions it requires.。Holding Hong Kong's No. 9 license plate is the touchstone for entering the international financial market。Laying the foundation for the company's financial products to explore the international market。

what to do,First understand what conditions are required for what you want to do,How to prepare,To ensure that what needs to be done is carried out more efficiently and smoothly。What are the requirements for Hong Kong No. 9 license plate application? because

Application conditions

and more handling details。More detailed application、Please contact us for processing。We have sorted out some of the conditions that need to be prepared when applying for the Hong Kong No. 9 license plate.。

They are as follows:one、Hong Kong No. 9 plate application conditions:

  1. The company’s shareholders have established companies in Hong Kong、Overseas companies registered with the Hong Kong Registrar。
  2. Have a business structure trusted and adopted by the China Securities Regulatory Commission、Internal control systems and competent and qualified personnel,Ability to face and handle risks in management business。
  3. The number of responsible persons shall not be less than two persons in charge,A person who supervises the relevant operations at all times,One is from the Securities Regulatory Commission

Require

executive directors and must seek approval from the Securities and Futures Commission。two、Hong Kong No. 9 license plate management capital

Require

  1. Regulated management activities subject to licensing conditions that prohibit holding of client assets,Liquid capital must be higher than HK$100,000。
  2. Except for Article 1, the paid-in capital must be higher than HKD 5 million.,Liquid capital must be higher than HKD 3 million。three、Hong Kong No. 9 plate processing for personnel

Require

:Responsible person:Have a designated university degree (such as accounting、Business Administration、economy、Finance and legal), etc.,Have more than 3 years of relevant industry experience + more than 2 years of management experience,Hong Kong Securities and Futures Practitioners Qualification Examination Paper 1 and Paper 6 must be passed。

11 years of experience in professionally handling Hong Kong financial licenses,Familiar with the procedures of the Hong Kong office、laws and institutions。A ready-made Hong Kong financial license is available for transfer,20% below market price,The only commission-free processing agency in China。Full hosting one-stop service,There are resources to quickly connect to the Hong Kong application office。500+ cases have been successfully processed (including well-known securities companies at home and abroad)、Investment companies with strong capital, etc.)。Contact us for details of Hong Kong No. 9 plate application


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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