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Hong Kong No. 9 license application conditions and procedures,Case analysis of Zhongcheng Bank and Trust

Financial card care question

on the one hand,Domestic filing threshold for private equity funds increased,Increased restrictions on investment channels;on the other hand,Hong Kong as an international financial center,All types of finance are still developing actively,Combining two backgrounds,Mainland enterprises have to focus their investment on the Hong Kong market,Among the licenses administered by the Securities and Futures Commission of Hong Kong,Hong Kong license plate number 9 is undoubtedly a popular one,Analysis of Hong Kong License No. 9

Application conditions

and process,We can take Zhongcheng Yinxin as an example to get started.。

Hong Kong license number 9,Also known as Hong Kong Asset Management License,Its main function is to manage assets for overseas customers、Offer stocks、fund、Bond and other investment portfolio management services。Zhongcheng Yinxin filed an application for Hong Kong No. 9 license with the Securities and Futures Commission of Hong Kong.,And it was officially approved by the Hong Kong Securities Regulatory Commission in June.,Zhongcheng Yinxin will be able to provide customers with professional and diversified cross-border asset management services based on a global perspective.。

Carrying out any business activities in Hong Kong,All need to obtain corresponding qualifications,And Hong Kong License No. 9

Application conditions

Usually for licensed responsible persons、Do you have a Hong Kong company?、financial situation and business structure, etc.

Require

No matter which license plate it is,The Hong Kong Securities and Futures Commission requires no less than 2 licensed responsible persons (ROs) to support the operation of the business.,If you need to hold client assets for investment,A minimum paid-up capital of HK$5 million and quick-frozen capital of HK$3 million are required.,and the client assets are

Require

Separate from the company account,If you are considering applying for Hong Kong No. 9 license,Need to be proposed based on business development needs。

Investors who are paying attention to the Hong Kong No. 9 license application are more or less aware.,Hong Kong License No. 9 is a means for large mainland private equity institutions to go overseas,Through the Hong Kong platform,Mainland funds can be circulated internationally。

Zhongcheng Yinxin’s starting point is also the same.,on the one hand,For Chinese enterprises,Strategic policies such as “One Belt, One Road” provide policy incentives for enterprises to develop overseas.;on the other hand,From a personal perspective,With the growth of total asset size,More and more individuals have begun to “go out”、The idea of ​​diversifying overseas asset allocation,This is also the reason why Hong Kong license No. 9 applications are so popular.。

Apply through Hong Kong License No. 9,Mainland capital now has a larger international platform for display.,However, units engaged in asset management,It is inevitable that you will also face certain risks,Need to have a better financial situation to deal with it。

Ten years of experience in Hong Kong No. 9 license application processing,Have long-term business dealings in Hong Kong,Business and industrial personnel are familiar with various license registration procedures in Hong Kong,Dealing with price、speed、Professionally always outstanding in the industry,Now I have various Hong Kong licenses in hand and can transfer them,Qualifications vary,Meet the diversified needs of investors for business development,Learn about Hong Kong License No. 9

Application conditions

and process,Welcome and further communication。


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 周浩铭

周浩铭

周浩铭在香港资产管理与证券监管合规领域有 8 年经验曾担任持牌资产管理公司业务与合规要职他熟悉香港证券及期货事务监察委员会(SFC) 关于 9 号牌照资产管理牌照申请条件风险控制框架要求内部合规制度投资组合管理控制及 Officer 资质要求等合规细则周浩铭擅长制定符合《证券及期货条例》的内部合规手册及持续运营合规流程

擅长领域SFC 9 Application for number license、风险控制框架Officer 资质要求《证券及期货条例》内部合规手册

曾任职机构香港持牌资产管理公司 & SFC 合规团队

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