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Establish Hong Kong Securities Regulatory Commission No. 9 license? The era of asset custody in Hong Kong begins

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The private equity boom continues,Many private equity institutions have begun to enter the Hong Kong market,Want to attract overseas investors,Realize overseas asset allocation。The Hong Kong No. 9 (asset management) license is basically one of the main ways for domestic private equity to finance overseas resources.。In fact, Hong Kong license No. 9 is not that easy to obtain.,The official review time is 6 months,plus queuing time,Application preparation time, etc.,The time for the new application cannot actually be determined.。

Therefore, many companies will think of buying ready-made No. 9 plates.。Peng Yi currently has No. 149 plates available for transfer.,If you are in need, please call. First, I will briefly explain the number 9 plate to my friends.,Companies holding No. 9 license plates can provide stocks to domestic and foreign institutions、fund、Bond and other investment portfolio management services。According to the clear provisions of the Securities and Futures Ordinance promulgated by the Hong Kong Securities and Futures Commission,Want to carry out regulated activities,You must hold a Hong Kong license issued by the Securities and Futures Commission of Hong Kong。

Conditions that companies applying for Hong Kong No. 9 license need to meet,The applicant company must be incorporated in Hong Kong or be an overseas corporation registered with the Companies Registry.;Good financial condition and solvency,The paid-up capital is not less than HKD 5 million,Quick-frozen funds shall not be less than 3 million Hong Kong dollars (if no client assets are held,The minimum liquid capital is HKD 100,000);At least two responsible persons;The business applicant must have an appropriate business structure,Good internal control system,Company personnel have certain qualifications and experience;Have actual business premises in Hong Kong。

Hong Kong No. 149 license requires submission of application materials to the Hong Kong Securities and Futures Commission,Measures for Hong Kong license after the Hong Kong Securities Regulatory Commission’s review and verification。Want to apply for Hong Kong No. 149 license?,Investors who buy ready-made Hong Kong licenses Peng Yi.


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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