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Hong Kong No. 9 License Application_Hong Kong No. 9 Asset Management License Application

Financial card care question

There are 10 major categories of securities dealer licenses in Hong Kong that we know of,in,Hong Kong License No. 9 is for mainland enterprises,Especially one of the licenses that private equity institutions are keen on,Hong Kong License No. 9 is an asset management license issued by the Securities and Futures Commission of Hong Kong.,2016Year,The China Securities Regulatory Commission issued this license to 165 entities in total.,Because there are many conditions required,It is difficult to apply for Hong Kong No. 9 license。

The Securities and Futures Ordinance promulgated by Hong Kong defines the ninth type of regulated business qualification license as an asset management license,Companies that want to provide asset allocation services to overseas customers through Hong Kong companies need to apply for a Hong Kong No. 9 license,Today is a hot day for Hong Kong stocks,Many private equity institutions want to use Hong Kong's No. 9 license to introduce investors from abroad.,The Hong Kong Securities Regulatory Commission has begun to tighten the issuance of Hong Kong No. 9 plates。

——————Determine whether you meet the qualifications for Hong Kong’s No. 9 asset management license,Applicants need to determine whether they meet the first-line requirements:

  1. Have a company in Hong Kong,if not,If it is an overseas corporation registered in the place where the company is registered,;
  2. Have a business structure suitable for the content to be carried out,Monitoring systems and having people who can do the job;
  3. No adverse financial condition,Have certain solvency,Guaranteed to have a share capital of more than HKD 5 million and liquidity of more than HKD 3 million;
  4. Ensure at least 2 responsible persons,More than one of them is a member of the board of directors,One or more persons are persons engaged in commercial activities in Hong Kong。

The above Hong Kong No. 9 license application conditions are in place.,You can apply to the Securities and Futures Commission of Hong Kong,The qualifications of the responsible personnel are determined by tests designated by the Securities Regulatory Bureau.。Industry insiders said,Hong Kong No. 9 license application is gradually becoming the main way for large-scale domestic private equity companies to go overseas.,As negotiations between the mainland and Hong Kong deepen,,Asset management licenses are still sought after by capitalists。

——————Hong Kong No. 9 license application,Helps expand the scope of investment targets,Overseas investors will be more recognized,at the same time,Can enjoy the tax policies of Hong Kong

Advantages

,Provide diversified services。In addition to Hong Kong No. 9 license application,In order to avoid waiting for approval, many investors,Directly choose the Hong Kong No. 9 license acquisition method.,It has the same meaning for business development。

,Existing Hong Kong No. 9 license is now available for transfer,Long-term experience in Hong Kong business management,Entrusting is more secure,Process more efficiently,Please call for details


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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