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Hong Kong No. 9 plate qualification application conditions,Qualification conditions for buying a Hong Kong asset management

Financial card care question

Hong Kong Xintong Peng Yi said qualifications:Want to work in the financial industry in Hong Kong,You must clearly understand what type of business you need to do,What kind of license is required?。The businesses corresponding to Hong Kong license plates 1-9 are different.,But one common feature is that,If you handle it yourself with your own strength or in the name of a company,,It will take a lot of time。Especially now, Hong Kong is very strict in reviewing financial qualifications.,The procedures and approval preparations require more effort.。

Need to know the conditions for applying for Hong Kong No. 9 plate qualifications,For those who want to buy a Hong Kong asset management qualification license, it is recommended that you find a reliable qualification agency.,Save time and effort。

The Securities and Futures Commission of Hong Kong has the following requirements for applying for a Type 9 license:

Require

:(1) Overseas corporations must be incorporated in Hong Kong or registered with the Companies Registry;(2) Have a proper business structure、Good internal control system、Company personnel have certain qualifications and experience;(3) Good financial status and solvency,Minimum paid-up share capital HKD 5 million,Liquid capital is no less than HKD 3 million;(4) At least two responsible persons,At least one responsible officer must be a member of the board of directors,At least one responsible officer must be based in Hong Kong;The Hong Kong Securities Regulatory Commission’s requirements for responsible persons of companies applying for No. 9 license

Require

very strict,You need to pass a series of rigorous examinations and qualification reviews. In addition, the China Securities Regulatory Commission is very strict about the issuance of licenses.,Time is also uncontrollable。

therefore,Most institutions prefer to use intermediaries to handle matters

Application process

,The required time is at least 6 months,Most private equity firms generally require 9-12 months, so they directly acquire the Hong Kong No. 9 license plate.,It is the first choice of many mainland institutions。Selecting acquisition targets and processes is something many companies need to understand,Complete the acquisition purpose through professional institutions,in time period,Risk control and economic costs can be well controlled!


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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