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2018Apply for Hong Kong license No. 149,Funding and team setup

Financial card care question

Mainland private equity firms want to enter the Hong Kong market,Attract overseas resources,Provide more investment channels for mainland customers,Requires Hong Kong license No. 9。The financial industry in Hong Kong implements a license management system,There are currently ten types of financial licenses issued,The protagonist of today’s discussion is license plate No. 9,To be precise, it is an asset management license.。

Hong Kong License No. 9 is a pass for mainland private equity institutions or institutions that carry out asset management business in Hong Kong,Hong Kong No. 9 license is the type with the largest proportion of Hong Kong financial license applications from mainland China.,It’s still a bit difficult to actually do it.,If you want to obtain the Hong Kong No. 9 license as soon as possible, please call Manager Peng Yi.:Acquire ready resources。

However, there is a lot of preliminary preparation work that needs to be done to apply for the Hong Kong No. 9 applicant organization.,Mainland private equity institutions generally choose to register a Hong Kong branch as the applicant。The applicant for Hong Kong No. 9 license must be a Hong Kong company or a non-Hong Kong company registered at the Hong Kong Companies Registry.。The most difficult thing about applying for Hong Kong No. 9 license is not the registered capital,Instead, we have qualified responsible persons and practitioners,Talent is hard to find。

Registered capital

Require

Above HKD 5 million,More than 3 million Hong Kong dollars are needed as working capital,Registered capital of companies planning to launch asset management business in Hong Kong

Require

Generally achieved。

————————Shenzhen Pengyi Business Co., Ltd. ——————But in terms of personnel,Regulatory authorities review projects very carefully,There should be no less than 2 persons in charge,in,At least one member of the board of directors,At least one is based in Hong Kong,Provide convenience for conducting regulatory business activities at any time。

Appointment of the main person in charge

Require

very high,Educational qualifications

Require

Be a holder of a university degree in a specified field,or other degrees with at least two passing examinations in the specified range of subjects,Or become a Chartered Financial Analyst、Certified financial planner and other professional qualifications。Industry experience

Require

At least 3 of the last 6 years of work experience have been in related industries,More than 2 years of management experience,Pass the regulatory framework exam。

Except registered capital,Subject type,personnel

Require

,There are many things that need to be met when applying for Hong Kong No. 9 license.,Establishment of risk control system,Organizational structure,Operation mode,Business scope, etc. must be in accordance with the regulations of the China Securities Regulatory Commission

Require

implement。

————————Shenzhen Pengyi Business Co., Ltd.——————Applying for the Hong Kong No. 9 license requires a lot of manpower and time.,Investors who want to launch business activities in Hong Kong as soon as possible can choose to obtain Hong Kong No. 9 license plate through equity acquisition。

Shenzhen Pengyi Business Co., Ltd. is the largest agency in China that handles Hong Kong licenses,Domestic financial license business service center,Currently we have ready-made Hong Kong 1 on hand、4、9Licenses are transferable,Anyone interested in learning more please call.


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

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Picture of Lin Zixuan

Lin Zixuan

Owned by Mr. Lin Zixuan 15 year securities、Asset management and investment banking experience,Served as senior compliance officer in several licensed financial institutions。He is well versed in the Hong Kong Securities and Futures Commission (SFC) regulatory requirements,Successfully dominated the SFC 1st 1、4、9 Application and annual maintenance of licenses (including RO licenses for legal persons and individuals)。He is particularly skilled in developing and enforcing financial resource rules (FRR)、internal control system,as well as ensuring that the company is fully compliant with the SFC’s requirements in terms of customer vetting (KYC) and anti-money laundering (AML/CFT),To meet strict regulatory compliance standards。

Areas of expertise:SFC license (Type 1, 4, 9) Application and maintenance、RO/MIC Approval、internal control system、Client Asset Rules (FRR)、KYC/Anti-Money Laundering Policy

Previous institutions:international investment bank、Licensed securities trading company、asset management company

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