Hong Kong license number 9
Advantages
|Fund sales standardization management Hong Kong license No. 9
Advantages
|Standardized governance of fund sales. The fund sales license is valid for 3 years. The license industry will be standardized this year.，2019February of the year，The China Securities Regulatory Commission issued the "Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Institutions"(Draft for comments)》(Hereinafter referred to as "Sales Measures")and related supporting rules draft for comments(Hereinafter referred to as "Sales Measures")，There is a clearer system and rules for fund industry sales，Industry insiders call it the toughest new regulation in history。
1、Delineating the life span of a fund sales license，Adopt elimination system。well known，Fund sales license is a very scarce thing，In recent years, the state has tightened the issuance of fund licenses，Rare things are valuable，Fund license transfer has become a high-priced and popular industry。
This "Sales Measures" sets out several license withdrawal arrangements：First, establish a business license renewal system for fund sales institutions，明确续展条件与期限，对三年期满不符合续展条件的基金销售机构，不予续展。二是细化各类机构因重大违法违规行为被吊销牌照的制度安排，提高牌照吊销的可执行性。
2、提高基金独销机构准入门槛注册资本由2000万提到5000万，总部从业人数由10人提高至30人，Do not engage in unplanned sales of asset management products in violation of regulations。3、Fund sales license, one participation, one control fund company and other financial institutions
Require
Shareholders participate and control，Independent third-party fund sales companies also
Require
One reference and one control。
Before applying to an institution
Require
Commitment to currently not control fund sales agencies，You cannot apply again after being qualified，It cannot be sold within 3 years after approval.，Can't hold it on behalf of others yet，Paid-in capital required，It also needs to be sold as a fund (public offering)、Private equity) mainly，Don't sell dog meat by selling sheep's head。
4、Standardize Internet diversion and cooperation. Traffic in the Internet era is，There are now situations where some Internet companies use their own traffic to divert fund sales.，This time, regulations were also carried out - clarifying the sales and service entities，Not to be collected、transmission、Save transaction information。Impact of new regulations：1、For fund investors，Fund sales platform is more secure2、For fund sales agencies，
Require
higher。
The license is valid from long term to 3 years，Renewal only after meeting the standards，
Require
Or non-monetary holdings of 1 billion yuan，How to better position yourself，Do a good job in fund sales，meet these conditions，Fund companies will consider more issues。3、Fund license issuance policy will be relaxed。Fund license sales adopt a phase-out system，We definitely need fresh blood to join in.，The regulatory authorities will have relatively relaxed policies on license approval and issuance.。
Regulations in mainland China are getting stricter，Fund sales license application becomes more difficult。For those who want to engage in fund sales，For companies that are not so financially strong,，You can refer to Hong Kong License No. 9，What kind of business can be operated with Hong Kong License No. 9? License No. 9：Provide asset management and manage securities or futures contract investment portfolios for clients on a discretionary basis. Manage funds on a discretionary basis. What are the benefits of holding No. 9 license plate?
Advantages
？
9The license is a Type 9 regulated business qualification license issued by the Securities and Futures Ordinance of Hong Kong.,i.e. asset management license。Hold this license,It means that you have obtained a "pass-pass" in the international capital market.,Not only can you directly participate in overseas investments,,It can also manage and utilize funds from overseas investors。dealing cards
Require
What are the main factors to consider?
Mainly consider the company's financial status and solvency、Qualifications and experience of company personnel，and whether the company has the ability to conduct regulated activities。
Require
The company must demonstrate that it has an appropriate business structure、Good internal control systems and qualified personnel，To ensure proper risk management and compliance with relevant rules and regulations。What are the personnel
Require
? 2 persons：Responsible officers and licensed representatives。
Responsible person：
Require
Hold a university degree in a specified field (e.g. accounting、Business Administration、economy、Finance and Law) or other degree (and pass the examination in at least two specified subjects)；Professional qualifications (e.g. Chartered Financial Analyst、认可财务策划师等）在过去6年内Z少有3年从事相关行业（建议公募基金公司）2年以上管理经验香港证券及期货从业员资格考试-卷一及六-合格持牌代表：
Require
Passed the Chinese/English + Mathematics examination in Hong Kong or equivalent (high school public examination such as university entrance examination). In the past 8 years, at least 5 years have been engaged in related industries (some private equity companies are enough). More than 2 years of management experience. Overall, passed the Hong Kong Securities and Futures Practitioners Qualification Examination.，9The gold content of number plates is very high。
For companies that want to expand into overseas financial markets，9Number plate is undoubtedly the first choice。
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