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香港9号牌照申请流程香港资管牌照申请流程

Financial card care question

Hong Kong Xintong Peng Yishuo License:改革开放以来我国的社会经济水平取得了突飞猛进的发展人民群众在对于资产投资上也有了更多需求我国在金融方面的需求逐渐增多金融行业也顺势发展了起来但毕竟是关乎民生大计的事情为了规范行业不论是内地还是香港都有关于很多金融类的牌照

本篇文章主要就是讲讲香港的9号牌照

Application process

香港资管牌照

Application process

拟在香港申领牌照的私募机构必须符合以下

Require

  1. 已在香港注册成立或已向公司注册处注册的海外法团
  2. 财务状况及偿债能力良好且公司各人员具备一定资历和经验
  3. The company must demonstrate that it has an appropriate business structure、Good internal control system and qualified personnel;
  4. 获发牌照的资产管理公司必须少有两名负责人员
  5. 少一名负责人员必须为董事局成员
  6. 如需要持有客户资产的低缴足股本500万港币,Liquid capital is no less than HKD 3 million,In addition, the company needs to comply with strict risk control mechanisms。

人员方面个人包括有关负责人员和有关持牌代表如向证监会申请牌照,Must demonstrate competence and integrity standards to the SFC,Be a fit and proper person to carry out regulated activities。上文也说道金融行业关乎民生大计所以有关部门对其的把控可以说是非常严格如果想要了解香港9号牌

Application process

香港资管牌照

Application process

需要注意的事项也十分多

希望大家都可以成功办理下来如果有牌照办理的任何需要,Welcome to contact me directly。Related products:Hong Kong license number 9

Application process

, 香港资管牌照

Application process


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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