香港作为亚洲金融市场的主要离岸及非离岸中心不论从监管架构的成熟度、专业知识及产品开发等方面都处于国际金融市场前列是国际投资者投资于亚洲的首选平台。由于A股市场并未完全国际化越来越多的私募基金管理机构开始踏入香港市场通过在香港设立公司来引入海外的投资者。
据格上理财了解私募行业的很多知名机构已申请或有意向申请香港的“9号牌照”将香港作为吸纳国际投资者的平台。Hong Kong license No. 9 is mainly used for overseas investment and financing business。
How to apply for Hong Kong No. 1 Securities Trading License?Hong Kong No. 149 license transfer?如想了解申请9号牌照事项可联系【国际】：︵︶︹︺Company address：Hong Kong license number 9
Application conditions
：1、注册成立香港金融牌照申请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非香港公司。
2、CompetenciesHave a suitable business structure、良好的内部监控系统及合资格的人员足以确保当你在进行详述于业务计划书中的拟进行业务时能够适当地管理可能面对的风险。
有关这方面的详情可以参阅由证监会发出的下列文件："Guidelines on Competence";Code of Conduct for Persons Licensed or Registered with the Securities and Futures Commission;and "Applicable to the Management of Persons Licensed or Registered by the Securities and Futures Commission"、Supervision and Internal Control Guidelines"。
Hong Kong License No. 1 Application：Detailed explanation of Hong Kong Asset Management License No. 9 application requirements 3、Responsible person 1)就每类你所申请的受规管活动而言你必须委任少两名负责人员直接监督你拟进行的有关活动。Hong Kong No. 149 Financial License Application 2)就每类你所申请的受规管活动而言你必须有少一名负责人员可以时刻监督有关业务。
只要被委任者是适当的人选及有关安排不会造成角色冲突同一个人可以获委任成为多于一类的受规管活动的负责人员。3)你拟委任的负责人员当中少要有一名是《证券及期货条例》所定义的执行董事。Hong Kong financial license application
Application conditions
What are there?4)你所有的执行董事必须向证监会寻求核淮以成为隶属于你(as a corporation)responsible person。
5)你须在递交你的牌照申请时向证监会一并递交所有拟成为你的负责人员的核淮申请以供证监会考虑。4、Major shareholders, etc. must be qualified as suitable candidates. Your major shareholder(See point 2)、senior staff、就或将会就你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你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。5、财政资源你在任何时候都必须就你所申请获发牌照的受规管活动类别将你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。
假如你就多于一类的受规管活动提出申请你应该维持的缴足股本及速动资金将以你所申请的有关受规管活动的规定金额中的较高者或者为准。Summary of the amount of paid-up share capital and liquid capital required to be maintained by a licensed corporation for each type of regulated activity。受规管活动第9类–正常情况.缴足股本的金额$5000000;流动资金的金额$3000000。
香港资产管理149号牌照办理申请及转让详细内容办理香港资产管理牌照申请现成香港149号牌照转让可联系
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。
