Hong Kong No. 9 license plate is the ninth type of regulated business financial qualification in the Securities and Futures Ordinance stipulated by the Hong Kong Securities Regulatory Commission.，This is what we commonly call an asset management license.。The main function of Hong Kong License No. 9 is to provide services for managing securities or futures contract investment portfolios。
After the enterprise or institution completes the Hong Kong No. 9 license plate application，Companies will be eligible to offer shares to domestic and foreign institutions、fund、Bond and other investment portfolio management services，That is to say, becoming a private equity or public equity fund company in Hong Kong。 Why are mainland private equity companies so eager to get a Hong Kong No. 9 license plate? 1) After completing the Hong Kong No. 9 plate application，Companies will be eligible to offer shares to domestic and foreign institutions、fund、Bond and other investment portfolio management services。
2) using the Hong Kong asset management platform，This company can not only develop more overseas real estate or stock funds and other products，We can also launch value-added services such as investment immigration and investment consulting.，Provide more diversified services to high net worth clients。 3) Overseas investors are more rational，Once funds are selected，Very stable for long-term holding，And not like the customers inside，Mainly speculation，rather than investment。 4) Overseas investors’ response to performance
Require
looser。
domestic
Require
Only when positive income hits a new high can floating income increase by 20%，Overseas rules
Require
You can withdraw profits if it exceeds the international mainstream stock index.。This is why Hong Kong’s No. 9 plate
Process
of
Require
relatively high，The important reason why so many companies still want to apply。
5) Private equity institutions can participate in overseas investments，On the one hand, it expands the scope of investment targets，On the other hand, the investment atmosphere in overseas markets is relatively rational and the operating system is complete.，Create a better investment environment for domestic private equity institutions that pursue value investment concepts。
6) Establishing an investment company in Hong Kong has tax advantages compared with that in China，Many private equity institutions are currently registered in the Cayman Islands，At the same time, a fund management (Hong Kong) company is established in Hong Kong.，Can greatly reduce the tax burden。 7) After private equity institutions have accumulated sufficient operating experience and investment experience in the international market，Can cultivate a more mature operating model and management team，Conducive to improving the company's own competitiveness，Officially entered the ranks of international asset management companies。
Hong Kong No. 9 plate
Application conditions
There are some very hard points in it
Require
： There are many types of financial licenses in Hong Kong，The difficulty of applying for Hong Kong financial licenses with different functions is also different.。 1) Enterprises must have individual licensed personnel with Hong Kong No. 9 license plate，Passed the examination of the Securities and Futures Commission of Hong Kong。 2) Enterprises also
Require
Have a physical office address in Hong Kong，Have an experienced management team to assist in running the company。
3) There is a lease agreement Hong Kong No. 9 plate
Process
What are the more important aspects of the company?
Require
？
1)An asset management company applying for a license in Hong Kong must be a company incorporated in Hong Kong or an overseas corporation registered with the Companies Registry in accordance with the Securities and Futures Ordinance，Neither sole proprietorship nor partnership will be licensed 2)The SFC will consider the company’s financial condition and solvency、Qualifications and experience of company personnel、and whether the company has the ability to conduct regulated activities competently。
3) in terms of ability，The company must demonstrate that it has an appropriate business structure，Good internal control system and qualified personnel to ensure proper risk management and compliance with relevant rules and regulations 4) There must be at least two responsible persons，Nationality of licensed individuals and responsible persons，The Hong Kong Securities Regulatory Commission stated that one can have mainland status，Hong Kong identity or foreign identity。
but
Require
One less responsible officer must be based in Hong Kong，in order to directly supervise the relevant business，However, the responsible officer does not need to be in Hong Kong at all times，The conditions for applying for Hong Kong No. 9 plate are when necessary，The SFC must have immediate access to one less responsible officer within an asset management company。Except for the person in charge，Any person who is a licensed asset management company or conducts asset management activities on its behalf must be licensed as a representative。
5) One less responsible person in the asset management company must be a member of the board of directors，However, if other board members are not actively involved in or responsible for direct supervision of asset management activities，They do not necessarily need to be licensed to be responsible persons in the asset management business。 6) Companies planning to apply for a Securities Regulatory Commission license must also meet relevant capital requirements.。If Category 9 is held and no customer information is held，The company must maintain low liquid capital of HK$100,000。
Working capital is average
Require
HK$3 million required，Non-current assets held HK$100,000，Registered capital is at least HK$5 million。 Hong Kong No. 9 plate
Application process
China has relatively strict rules for responsible personnel
Require
。
Provisions on the competence of responsible personnel： If an individual applies for a license from the Securities and Futures Commission，Must demonstrate to the SFC that he has met relevant standards of competence and integrity，Be a fit and proper person to carry out regulated activities 1) Academic/industry qualifications Hold a university degree in a specified field (e.g. accounting、Certified Financial Planner、economy、or other degree (and have passed the examination in at least two subjects in the designated areas)、Business Administration、Finance and Legal)、or a professional qualification (e.g. Chartered Financial Analyst、) 2) Relevant industry experience. At least 3 years of relevant industry experience in the past 6 years. 3) 2 years of management experience. 4) Passed the local regulatory framework examination. Passed Papers 1 and 6 of the Securities and Futures Practitioner Qualification Examination of the Hong Kong Securities Professional Institute (for Type 9 Regulated Activities License). Manager Peng Yi has strong operational capabilities and rich experience in handling Hong Kong financial license applications.，There have been 500+ cases of new Hong Kong financial license applications and acquisitions。
at the same time，In order to allow applicants to start Hong Kong financial business faster，Already have multiple Hong Kong financial licenses No. 149 available for direct transfer。It is recommended for customers who need to learn more about the conditions and procedures for Hong Kong No. 9 plate processing.，You can call us directly to communicate with us.。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
