As a major offshore and non-offshore center for Asia’s financial markets, Hong Kong has、It is at the forefront of the international financial market in terms of professional knowledge and product development and is the preferred platform for international investors to invest in Asia.。Since the A-share market is not fully internationalized, more and more private equity fund management institutions have begun to enter the Hong Kong market and introduce overseas investors by setting up companies in Hong Kong.。
According to Geshang Financial, we understand that many well-known institutions in the private equity industry have applied or intend to apply for Hong Kong’s “No. 9 License” and use Hong Kong as a platform to attract international investors.。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?If you want to know more about applying for No. 9 license, please contact [International]：︵︶︹︺Company address：Hong Kong license number 9
Application conditions
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- To apply for a Hong Kong financial license, you must be a company incorporated in Hong Kong or a non-Hong Kong company registered at the Hong Kong Companies Registry.。
- CompetenciesHave a suitable business structure、Good internal control systems and qualified personnel are sufficient to ensure that you can appropriately manage the risks you may face when conducting the proposed business as detailed in the business plan。
For details in this regard, please refer to the following documents issued by the Securities and Futures Commission："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)For each type of regulated activity you apply for, you must appoint at least two responsible officers to directly supervise the relevant activities you intend to carry out.。Hong Kong No. 149 Financial License Application 2)For each type of regulated activity you are applying for, you must have at least one responsible officer who can supervise the business at all times。
The same person may be appointed as a responsible officer for more than one type of regulated activity, provided that the appointee is a fit and proper person and the arrangements do not create role conflicts.。3)At least one of the responsible officers you intend to appoint must be an executive director as defined in the Securities and Futures Ordinance。Hong Kong financial license application
Application conditions
What are there?4)All your executive directors must seek approval from the SFC to become affiliated with you(as a corporation)responsible person。
5)When submitting your application for a license, you must submit the approval application of all proposed responsible officers to the SFC for consideration by the SFC。4、Major shareholders, etc. must be qualified as suitable candidates. Your major shareholder(See point 2)、senior staff、Any other person employed or who will be associated with you in relation to the regulated activity to which your application relates must be qualified as a fit and proper person。
For details, please refer to Section 129 of the Securities and Futures Ordinance。5、Financial Resources You must at all times maintain your paid-up share capital and liquid capital in relation to the type of regulated activity for which you are applying for a license to be no less than the Securities and Futures(financial resources)the relevant amount specified in the Rules。
If you apply for more than one type of regulated activity, the paid-up share capital and liquid capital you should maintain will be the higher of the prescribed amount for the regulated activity you are applying for or。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。Regulated activity type 9 – normal circumstances. Amount of paid-up share capital $5,000,000;Amount of working capital $3,000,000。
Hong Kong Asset Management License No. 149 application and transfer details. Application for Hong Kong Asset Management License is available. For transfer of Hong Kong Asset Management License No. 149, please contact
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