“Apply for a Hong Kong SFC regulatory license in Hong Kong，The required conditions are nothing more than people and money.，Specifically reflected in the organizational form and personnel qualifications
Require
superior。Categories of “intermediaries” and
Application conditions
Organizations in Hong Kong that are permitted to engage in activities regulated by the Securities and Futures Commission can be classified into licensed、Short-term licensed tour group、Three types of registered institutions。
licensed corporation，"Refers to a corporation licensed under section 116 of the Securities and Futures Ordinance to carry on one or more types of regulated activities but which is not an authorized financial institution"。
short-term licensed corporation，"Refers to the issuance of a short-term license under section 117 of the Securities and Futures Ordinance，May carry on one or more types of regulated activities (Type 3) for a period of not more than three months(Leveraged Forex Trading)、Category 7(Provide automated trading services)、Category 8(Providing securities margin financing)and Category 9(Provide asset management)(other than regulated activities) but is not an authorized financial institution”。
Registration authority，"Refers to registration under section 119 of the Securities and Futures Ordinance to carry on one or more types of regulated activities (Type 3 regulated activities(Leveraged Forex Trading)and Type 8 regulated activities(Providing securities margin financing)(except) authorized financial institutions”。 A short-term licensed corporation cannot engage in regulated activities for more than 3 months，Little meaning；The registered institution must first be a bank，The threshold is already high。
Therefore, we only take licensed corporations as an example，Introduce the general
Application conditions
。
General fit and proper requirements for licensed corporations on promoters
Require
：“In accordance with the provisions of Section 129 of the Securities and Futures Ordinance，When the SFC considers whether an applicant is fit and proper for licensing or registration，In addition to considering other matters that the SFC considers relevant，Consideration must also be given to the following matters concerning the applicant and, where appropriate, other relevant persons of the applicant:：financial condition or solvency；Academic or other qualifications or experience，and considerations in this regard must have regard to the nature of the functions proposed to be performed by the applicant；Are you capable of doing your job competently?、Carry out relevant regulated activities honestly and fairly；and reputation、character、Reliability and financial soundness。
” 公司注册必须是在香港注册成立的公司或在香港公司注册处注册的海外公司。
???|?|???ˉ?¤???????§???§?o?a?§?§?§?￥?|?¤???§?3?¨?ˉ?·?￥?§??￥?§?|?μ?§?¨?￥?|???¤?????￥?|?¤???ˉ??A company applying for competency must satisfy the Securities and Futures Commission that it has a suitable business structure、Good internal control system and qualified personnel，Sufficient to ensure the conduct of the proposed business as detailed in the business plan，Ability to appropriately manage risks that may be faced。
related to this
Require
，The Securities and Futures Commission of Hong Kong has issued a series of detailed guidelines："Guidelines on Competence"、The Code of Conduct for Persons Licensed or Registered with the SFC (the “Code of Conduct”) and the Management Applicable to Persons Licensed or Registered with the SFC、Supervision and Internal Control Guidelines"。Responsible officer's application for each type of regulated activity，Two less responsible officers must be appointed to directly supervise the relevant activities to be carried out。
The official English name of the responsible person is RO(Responsible Officer)。When submitting your license application，The company intending to be licensed must submit all approval applications for becoming an RO to the Securities Regulatory Commission.，for consideration by the Securities and Futures Commission。In the course of daily operations, licensed companies，There must be at least one responsible person who can supervise the relevant business at all times。
As long as the appointee is a suitable candidate and the relevant arrangements do not create role conflicts，The same person can be appointed as a responsible officer for more than one type of regulated activity。Among the two ROs，At least one must be an "executive director" as defined in the Securities and Futures Ordinance。However, all "executive directors" must seek approval from the Securities and Futures Commission to become ROs。
"Executive director" is defined here as "a director who is actively involved in or is responsible for the direct supervision of the business of the regulated activities for which the corporation is licensed"。As long as the "Executive Director" discharges his responsibilities in a satisfactory manner，Supervise business，can live outside Hong Kong。This provision can more conveniently arrange for mainland management to serve as ROs of Hong Kong licensed companies.。
The SFC will base its decision on the frequency of non-Hong Kong resident directors’ visits to Hong Kong to handle regulatory activities and the comprehensive level of the licensed company’s internal control system and systems.，To determine whether directors residing in the mainland are competent to perform the due diligence duties of the Hong Kong Securities Regulatory Commission on ROs
Require
。 The role of RO is more like a paid supervisor of a licensed company but accountable to the Securities and Futures Commission of Hong Kong.。ROs need to pass the assessment of the China Securities Regulatory Commission and be licensed to work.，Register with the China Securities Regulatory Commission，lifelong practice。
RO qualifications are related to RO natural persons.，Not related to the licensed company，Therefore, RO can freely change the licensed company he works for.。Under this system setting，If an RO violates the regulations of the China Securities Regulatory Commission at work, his license will be lost and he will lose his lifelong qualification.。So RO is for lifelong professional qualifications，We will supervise the daily operations of licensed companies to comply with regulatory requirements from the perspective of the China Securities Regulatory Commission.，Become the front-line management touchpoint of the Hong Kong Securities and Futures Commission in the operation of licensed companies。
负责人RO要通过香港证监会的审核上岗，是需要参加资格考试的。
受规管活动职位香港证券及期货从业员资格考试科目证券交易；Advise on securities；负责人员卷一+卷二资产管理；负责人员卷一+卷六证券交易；Advise on securities；代表卷一期货合约交易；Advising on futures contracts；代表卷一就机构融资提供意见；代表卷一资产管理；代表卷一香港资格考试成绩可用于申请香港证监会相关牌照，有效期为3年，即考生须在通过卷一考试后的3年内向香港证监会申请相关受规管活动的代表牌照；或在3年内通过卷一+卷二/卷六/卷十六，并向香港证监会申请相关受规管活动的负责人员牌照。
大陆人员目前可以北京、Shanghai、深圳、西安和武汉等城市参加香港从业资格考试。
根据中国中央政府与香港特别行政区签署的《内地与香港关于建立更紧密经贸关系的安排》(CEPA)，大陆中国证监会与香港证监会确定了两地证券、期货及基金从业人员资格互认的具体安排，内地证券期货基金专业人员(指拥有有效的内地证券、期货或基金执业资格的中国公民)通过由香港证券及投资学会主办、中国证券业协会承办的香港证券及期货从业员资格考试(以下简称“香港资格考试”)卷一《基本证券及期货规例》、卷二《证券规例》、卷六《资产管理规例》、卷十六《保荐人(represent)》，并符合香港证监会所列的发牌条件，即可申请相关牌照。
通过上述相关考试,持有内地一般的执业资格,将被视作符合香港代表的行业资格。
内地证券期货基金专业人员在香港申请牌照(通过卷一考试后)，应按照下列对照表被视作已拥有与其当前执业资格相应的香港认可行业资格：内地执业资格香港牌照列出的受规管活动证券执业资格(已通过证券交易专科考试)Securities trading(第一类受规管活动)证券执业资格(已通过证券投资分析专科考试)Advise on securities(第四类受规管活动)证券执业资格(已通过证券发行与承销专科考试)Advise on institutional financing(第六类受规管活动)期货执业资格(已通过期货专科考试)Futures contract trading(第二类受规管活动)期货执业资格(已通过期货专科考试)Advising on futures contracts(第五类受规管活动)基金执业资格(已通过证券投资基金专科考试)Provide asset management(第九类受规管活动) 高级管理层持牌公司的高级管理层应承担的首要责任，是确保持牌公司能够维持适当的操守标准及遵守恰当的程序。
证监会认为，持牌法团的高级管理层包括（除其他成员外）：法团的董事，Responsible officer of the corporation，及核心职能主管的人士。以上三种类别的职位不一定要分别由不同人士担任。For example，某人可同时担任持牌法团的董事、负责人员及核心职能主管。
在根据《证券及期货条例》第116(1)条申请牌照时，持牌公司须提供有关核心职能主管的资料及组织架构图。The management structure of a licensed corporation (including the appointment of core functional managers) should be approved by the corporation’s board of directors。also，董事会应确保持牌法团的每名核心职能主管已同意接受其获委任为核心职能主管，及其需主要负责的特定核心职能。
“核心职能主管”一词指获持牌法团委任为（单独或连同其他人）主要负责管理该法团以下任何职能的人士：(i) 整体管理监督(ii) 主要业务(iii) 营运监控与检讨(iv) 风险管理(v) 财务与会计(vi) 信息科技(vii) 合规(viii) 打击洗钱及恐怖分子资金筹集有关核心职能主管规定的详情，请参阅《致持牌法团有关加强高级管理层问责性的措施的通函》大股东、高级人员及其他有关人士须具备适当人选的资格“持牌公司的大股东、senior staff、就或将会就持牌公司的申请所关乎的受规管活动而雇用的任何其他人，或就或将会就该类活动与持牌公司有联系的任何其他人，都必须具备适当人选的资格”。
For details, please refer to Section 129 of the Securities and Futures Ordinance。财政资源持牌公司在任何时候都必须就持牌公司所申请获发牌照的受规管活动类别，将持牌公司的缴足股本及速动资金维持在不少于《证券及期货(financial resources)the relevant amount specified in the Rules。
持牌公司每多于一类的受规管活动提出申请，应该维持的低缴足股本及速动资金将以所申请的有关受规管活动的规定金额中的高者为准。下表是持牌法团就每类受规管活动所须维持的缴足股本及速动资金的低数额的摘要。
缴足股本及速动资金的低
Require
受规管活动缴足股本的低数额速动资金的低数额第1类－(a) 如该法团属核准介绍代理人或买卖商(b) 如该法团提供证券保证金融资(c) 如属其他情况 不适用 $10,000,000 $5,000,000 $500,000 $3,000,000 $3,000,000第2类－(a) 如该法团属核准介绍代理人、买卖商或期货非结算交易商(b) 如属其他情况 不适用 $5,000,000 $500,000 $3,000,000第3类－(a) 如该法团属核准介绍代理人(b) 如属其他情况 $5,000,000 $30,000,000 $3,000,000 $15,000,000第4类－(a) 如该法团就第4类受规管活动受到不得持有客户资产的发牌条件所规限(b) 如属其他情况 不适用 $5,000,000 $100,000 $3,000,000第5类－(a) 如该法团就第5类受规管活动受到不得持有客户资产的发牌条件所规限(b) 如属其他情况 不适用 $5,000,000 $100,000 $3,000,000第6类－(a) 如该法团担任保荐人：- 持有客户资产- 不得持有客户资产 (b) 如该法团并非担任保荐人：- 持有客户资产- 不得持有客户资产 $10,000,000$10,000,000 $5,000,000不适用 $3,000,000$100,000$3,000,000$100,000第7类$5,000,000$3,000,000第8类$10,000,000$3,000,000第9类－(a) 如该法团就第9类受规管活动受到不得持有客户资产的发牌条件所规限(b) 如属其他情况 不适用 $5,000,000 $100,000 $3,000,000第10类－(a) 如该法团就第10类受规管活动受到不得持有客户资产的发牌条件所规限(b) 如属其他情况 不适用 $5,000,000 $100,000 $3,000,000 如欲获得更多有关财政资源的资料（例如怎样计算速动资金），请参阅。
保险《证券及期货(Insurance)规则》列出适用于持牌法团的保险规定。持牌公司有意就第1类受规管活动（证券交易）及／或第2类受规管活动（期货合约交易）提出申请并拟成为交易所参与者，应作好准备将会需要根据已核准的总保险单投购保险。获委任的保险经纪将会处理相关的行政管理事宜。
保荐人要符合资格担任保荐人或合规顾问，持牌公司必须就第6类受规管活动获发牌，Right now(i)能够符合《保荐人指引》（《适当人选的指引》附录I）所载的资格准则；and(ii)维持作为持牌人的适当人选资格。（《保荐人指引》及《操守准则》可于证监会网站）〈规则汇编〉一栏下载。
） 房地产投资信讬基金（“房地产基金”）经理房地产基金公司需要就第9类受规管活动（提供资产管理）获发牌照。至于该公司是否需要就其他类别的受规管活动获发牌照，则视乎其运作模式而定。
For example，若管理公司亦同时从事与该计划的上市申请有关的事宜（而并非委任上市代理人），该公司将需要就第6类受规管活动（就机构融资提供意见）获发牌照。如该公司亦将涉及分销房地产投资信讬基金或其他证券，则其除需要就第9类受规管活动获发牌照外，亦将需要就第1类受规管活动（证券交易）获发牌照。
具备从业资格的持牌人士的类别香港证监会认可的持牌人士分为负责人员（RO）、持牌代表、临时持牌代表、短期持牌代表几类。附录D及E所载的准则相符。金管局可能
Require
申请人提供一份独立保证报告（该报告），以支持其关于申请人的适当人选资格，及申请人是否胜任进行任何受规管活动的决定。
该报告应由获金管局接纳的外部专业公司编制。一般而言，刚投身香港证券及期货市场的申请人，及在个案被视为特别复杂的情况下，均须遵循此规定。假如你拟进行首次公开招股的保荐活动，你应透过同一集团内持有第6类受规管活动牌照的法团进行有关活动。
证监会在决定接受或拒绝为申请人注册时，应顾及到金管局给予的意见，而在作出决定时可能会依赖有关意见。负责人员负责人员指本身是持牌代表并同时根据《证券及期货条例》第126条获核准成为负责人员，以监督其所隶属的持牌法团的受规管活动的人士。
符合负责人员适当人选的规定：financial condition or solvency；Academic or other qualifications or experience，而在这方面的考虑会顾及拟执行的职能的性质；是否有能力称职、诚实而公正地进行有关的受规管活动；and reputation、character、Reliability and financial soundness。有关详情请参阅香港证监会网站《适当人选的指引》《胜任能力的指引》。
有关负责人员的相关行业经验的规定对负责人员的行业经验
Require
，并不仅仅限制于所申请牌照的既往从业经验，“证监会在考虑负责人员申请时，会对范围广泛的行业经验予以承认属于相关经验”。
For example，从基金的销售及市场推广所得的经验虽然并非与投资管理直接相关，但可能会在有关第9类受规管活动（提供资产管理）的申请中获得承认。证监会在考虑申请人能否通过行业经验测试时，亦会顾及（除其他因素外）该人在业界的整体工作资历。
”非驻港人员担任负责人员——海外居民大陆人员只有在确定将会来港代其所隶属的持牌法团进行受规管活动的情况下，证监会才会批给牌照。at the same time，需要保证大陆人员保持一定频率和时长的赴港和驻留，以保证其合理的在香港履行其负责人职务。For example，许保证其独立履行职务的权利不因离港而丧失，不受另一名长期驻港负责人员的影响。
需要特别注意的是，需避免大陆人员被定性为香港证监会认为的“流动人员”。流动专业人员只会为了特定目的偶然在香港作短暂逗留，不具备完成职务的客观可能。第6类持牌公司的保荐人6号牌的分类是“就机构融资提供意见“，简单理解就是投行牌。
《保荐人指引》（《适当人选的指引》附录I）所载的资格规定适用于从事保荐人工作的第6类受规管活动的持牌法团的保荐人主要人员。Generally speaking，保荐人主要人员应为保荐人的负责人员RO。
有关委任取决于保荐人是否另有至少一名保荐人主要人员(i)符合方案1下担任保荐人主要人员的资格；(ii)驻于香港；and(iii)其牌照没有受其他条件所约束，以限制该人就保荐工作提供意见或从事保荐人工作。流动专业人员不符合资格担任保荐人主要人员。
就《收购守则》提供意见企业之间的并购事项，在香港有专门的《公司收购、合并及股份回购守则》（“《收购守则》＂）来规范相关事项。在并购项目中作为财务顾问，是需要证监会认可的相关知识和才能的。Generally speaking，申请人必须使证监会信纳，财务顾问具备曾根据《收购守则》或《伦敦收购守则》监督至少一宗完整交易的经验。
成为并购项目的财务顾问，需要填写补充文件11（与《香港公司收购、合并及股份购回守则》监管的事项有关的活动）及提供若干证明文件，以证明财务顾问在涉及守则事宜上的胜任能力。
房地产投资信讬基金（“房地产基金”）经理如基金经理就第9类资管活动申请为隶属房地产投资信讬基金管理公司的负责人员，除了需符合《胜任能力的指引》内订明负责人员的一般胜任能力规定外，还须具备少五年投资管理及／或物业投资组合管理的可追溯的纪录。
持牌代表持牌代表指根据《证券及期货条例》第120(1)条获发牌为其所隶属的持牌法团进行一类或多于一类的受规管活动的个人。持牌代表只可以为所隶属的持牌法团（即主事人）进行获发牌的受规管活动。持牌代表不能在非关联的不同独立持牌法团兼职。
持牌代表在任职资格上的
Require
因素与负责人员RO基本一样，但相关业务经验的
Require
会降低，资格考试的科目
Require
也相对低。 证监会没有
Require
持牌公司在运营受规管活动中必须雇佣持牌代表。持牌代表更像是负责人员的初级储备。
受规管活动职位香港证券及期货从业员资格考试科目证券交易；Advise on securities；负责人员卷一+卷二资产管理；负责人员卷一+卷六证券交易；Advise on securities；代表卷一期货合约交易；Advising on futures contracts；代表卷一就机构融资提供意见；代表卷一资产管理；代表卷一如果一个专业人士相关经验丰富资历胜任负责人员各项
Require
，通过资格考试和申请，可以获批成为负责人员。
但如果一个从业人士因资历达不到负责人员的
Require
而申请成为了持牌代表，那么持牌代表需要经过一定年限的专业从业，才能获批成为负责人员。
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