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Hong Kong No. 9 license application,Conditions for applying for No. 9 asset management license

Financial card care question

Hong Kong License No. 9 is a financial license that is relatively common in applications and acquisitions among regulated licenses in Hong Kong.,Its main function is asset management,Relying on Hong Kong’s relatively high degree of openness to the outside world,Can manage assets for overseas investors,such as a portfolio of securities or futures contracts,Manage funds, etc.,The following will analyze the conditions for applying for Hong Kong No. 9 license。

Hong Kong Securities and Futures Commission regulations,Each type of regulated license requires at least 2 licensed responsible persons,Immediate RO,Equivalent to what is often called a risk control officer in China,The Hong Kong No. 9 license application also requires more than 2 ROs to be responsible for operating related businesses.。

In addition, the following conditions must be met:

  1. Register a Hong Kong company;
  2. Have an appropriate business structure and internal control system recognized by the SFC;
  3. There is conformity

Require

directors、person in charge、core members,Can be held by the same person;

  1. Have good financial status,At any time, the paid-in share capital and quick-frozen funds must meet the prescribed amount.。

Due to the relatively large domestic management restrictions on the financial industry,,In addition, private placement can easily become illegal fund-raising,Mainland investors tend to acquire or apply for Hong Kong’s No. 9 asset management license to enter and allow funds to legally go overseas.,However, mainlanders who apply for Hong Kong’s No. 9 license will still face difficulties in finding talents.、Interference from uncontrollable factors such as queue application time。

If it is an unit that has asset management business that needs to be launched immediately or lacks the conditions,Business qualifications can be obtained through acquisitions。Ten years of professional operating experience in the field of Hong Kong securities license processing,Now I have a Hong Kong No. 9 license plate that can be transferred,below market price,The acquirer can decide whether to hold investor assets for operations based on its own needs.,There is a certain gap between the prices of licenses that hold assets and those that do not.。

What you need to pay attention to when applying for Hong Kong No. 9 license,The best registered capital is more than HKD 5 million.,This will facilitate the approval of the Hong Kong Securities Regulatory Commission and the application for work visas.,After obtaining the license,Can withdraw some funds,But you need to ensure that there are specified funds in the account。

,Ten years of Hong Kong securities license application、transfer、Acquisition experience,Able to efficiently solve various difficult problems,Assistance in finding RO,Register a Hong Kong company、Additional conditions,Mature service model,Always maintain prices and professionalism that are superior to those in the same industry

Advantages

,To apply for Hong Kong No. 9 license, please call。


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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