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Advantages of Hong Kong No. 9 License|私募一九分化|

Financial card care question

Hong Kong license number 9

Advantages

|私募一九分化|Hong Kong license number 9

Advantages

|私募一九分化|距离上证指数创出5178点高位已过去4年这期间A股市场在挣扎私募机构也备受煎熬近期有数据显示全行业仅365家证券类私募能养活自己私募如何才能活得长久成为行业必须面对的问题

据私募排排网统计目前已登记的近9000家私募证券投资基金管理人中在市场上活跃的规模5000万以上的只有1441家如果将固定收益策略的盈亏平衡规模设定在30亿其他策略设定在5亿只有365家私募能实现收支平衡或持续盈利其中268家以股票策略为主占比73.42%

depreciation of the renminbi、Against the backdrop of tighter domestic regulation,内地机构及个人投资者对海外的投资意向愈来愈强烈而香港作为国际性金融市场不论监管架构的严谨、major,还是从业人员的专业知识以及产品的多元化方面都是在国际金融市场名列前茅因此众多投资者通过香港作为跳板投资海外市场

Hong Kong is an important international financial center,It is also the bridgehead for many mainland financial institutions to go abroad.。Carrying out different financial businesses in Hong Kong,Need to apply for different types of licenses from the Securities and Futures Commission。Hong Kong is an international metropolis,It is also an international financial center,As my country’s foreign investment continues to rise,,Hong Kong will continue to play an important role in serving as a link between mainland China and the international community.。

Mainland China carries out relevant business activities in Hong Kong,Like local investors in Hong Kong, they need to obtain the corresponding business qualification licenses,Hong Kong license No. 9 application has become one of the licenses that mainlanders have been competing to apply for in recent years.。So,香港9号牌照能够经营什么样的业务呢9号牌照提供资产管理以全权委托形式为客户管理证券或期货合约投资组合以全权委托形式管理基金持有9号牌有什么

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 obtaining a "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 subject examination in at least two specified areas);Professional qualifications (e.g. Chartered Financial Analyst、Certified financial planner, etc.) with at least 3 years of engagement in related industries (recommended for public fund companies) in the past 6 years and more than 2 years of management experience. Qualified licensed representative of Hong Kong Securities and Futures Practitioners Qualification Examination Papers 1 and 6:

Require

Passed the Chinese/English + Mathematics examination in Hong Kong or equivalent (high school public examination such as university entrance examination). At least 5 years of relevant industry experience in the past 8 years (some private equity companies are enough). 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。


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

U.S. MSB license plate picture

2026The US MSB license just applied for,Experience sharing

The client is an asset management company from mainland China,Established many years ago,Early business focused on domestic investment management。recent years,With the internationalization of customer structure、Increased cross-border demand for funds,The company began to systematically lay out overseas payment and capital channels,Hope to provide more flexible international payment solutions for high net worth customers。
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