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How to apply for Hong Kong No. 9 asset management license

Financial card care question

Companies operating in the financial sector in mainland China or companies in other industries that have the strength to develop their asset management business in Hong Kong often inquire about the application conditions for Hong Kong’s No. 9 license.,Now I would like to share with you some important points to pay attention to.:first,You need to register a Hong Kong company in Hong Kong first,Then the company needs to prepare about 3 million to 5 million Hong Kong dollars as the working capital of the Hong Kong company.,Prove that the company has the strength to engage in relevant business development,It is best to have actual office space in Hong Kong,This is what businesses that really want to run will generally do.,Then the company’s senior executives and licensees must be in place.,The rest is the information system that the company needs for business development.,Available to buy or rent,After passing the test, you can wait to get the license.。

To sum up:

  1. Hong Kong company
  2. Qualified licensee,If you don’t have any, you can find local people to associate with or hire.
  3. office space,Cooperate with the China Securities Regulatory Commission’s inspection
  4. Business operation system,Available to buy or rent
  5. If the information and procedures for other information and license applications are relatively clear,,It will save you a lot of unnecessary trouble,And be careful when looking for an agency to handle it,You must find someone reliable and capable,otherwise,At that time, the other party will directly transfer it to other individuals and companies.,Service cannot be guaranteed,Affect the company's normal operations。

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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