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Hong Kong No. 9 plate qualification application fee,Hong Kong asset management qualification application fees

Financial card care question

Hong Kong Xintong Peng Yishuo Resources:Many people have doubts,Why can’t I apply for the Hong Kong No. 9 plate qualification? Is it really impossible to apply by yourself? Actually, it’s not impossible.,It takes a lot of time and effort to apply by yourself.,People with no experience in handling can get started directly,I have no idea what I should do first。Let’s talk about the application conditions of Hong Kong No. 9 license in detail.。

Subjects applying for Hong Kong license No. 9

Require

Must be a company registered in Hong Kong or a non-Hong Kong company registered at the Hong Kong Registry。Registered capital,Minimum payment required is HKD 5 million,Liquidity capital cannot be less than HKD 3 million。Responsible person

Require

Very strict,Must have academic certificates in specific majors,Industry experience、Management experience, etc. need to be certified by the Hong Kong Securities Regulatory Commission。

The number of responsible personnel is at least two,At least one of the responsible persons shall be a member of the board of directors,One less person in charge is based in Hong Kong,Facilitate direct supervision of related businesses。Applicants must have a risk control mechanism that meets strict standards,business structure,internal monitoring system,Personnel, etc. need to meet stringent requirements

Require

。Hong Kong license number 9

Process

。The Hong Kong Securities and Futures Commission will use strict standards to evaluate whether the applicant institution has the strength to hold the Hong Kong No. 9 license。

The main focus of the regulatory review is the financial status and solvency of the applicant institution.,Personnel qualifications、Industry experience,The reliability and financial soundness of the institution, etc.。When all conditions are met,The organization will apply to obtain Hong Kong License No. 9。Related products:Hong Kong No. 9 plate qualification application

cost

, Hong Kong asset management qualification application

cost


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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