Hong Kong License No. 9 is mainly applicable to overseas investment and financing business。According to Hong Kong’s Securities and Futures Ordinance，Type 9 regulated activity"Asset Management" Covered，Mainly includes real estate investment plan management，and securities or futures contract management。
Applicable business scope of Hong Kong No. 9 license
"Real Estate Investment Plan Management" for anyone，means that the person provides services for another person to operate a collective investment scheme；The properties managed under the scheme consist primarily of real estate，At the same time, the plan is regulated by the Securities and Futures Ordinance。
"Securities or futures contract management" in relation to any person，means that the person provides services for another person to manage a portfolio of securities or futures contracts。If an enterprise plans to carry out relevant asset management business in Hong Kong，通常需要就第9类受规管活动向Hong Kong Securities and Futures CommissionApply for a license。
Applicant and competency requirements
Subjects applying for Hong Kong license No. 9，Must be a company incorporated in Hong Kong，Or inHong Kong company registrationNon-Hong Kong companies registered with。
Applicants must also possess sufficient competency，Includes appropriate business structure、Good internal control system，and qualified staffing，Ensure that when carrying out the proposed business as stated in the business plan，able to properly identify、Manage and control related risks。
in competence、Code of Conduct and Internal Control，Enterprises should focus on referring to the following documents issued by the Hong Kong Securities and Futures Commission：
- "Guidelines on Competence"
- Code of Conduct for Persons Licensed or Registered with the Securities and Futures Commission
- "Applicable to the Management of Persons Licensed or Registered by the Securities and Futures Commission"、Supervision and Internal Control Guidelines"
Responsible personnel and executive director arrangements
For each type of regulated activity applied for，Applicants must appoint at least twoHong Kong license No. 9 and 149：Application conditions、Transfer Path and Compliance Processing，Directly supervise the relevant activities to be carried out。
at the same time，For each type of regulated activity applied for，Applicants must ensure that at least one responsible person is available to supervise the business at all times。As long as the person appointed is a fit and proper person，And the relevant arrangements will not cause role conflicts，The same person may be appointed as a responsible officer for more than one type of regulated activity。
Among the responsible officers proposed to be appointed by the applicant，At least one executive director must be an executive director as defined in the Securities and Futures Ordinance。All executive directors must seek approval from the Securities and Futures Commission of Hong Kong，Become a responsible officer of the applicant corporation。
Applicants must submit their license application，Submit all applications for approval of proposed responsible officers to the Securities and Futures Commission of Hong Kong，For review and consideration by the Securities and Futures Commission。
Fitness and fitness and financial resource requirements
Applicant’s major shareholder、any other person who is or will be employed in relation to the regulated activity to which the application relates，or any other person with whom the applicant has or will come into contact in relation to such activities，All candidates must be suitably qualified。For relevant requirements, please refer to Section 129 of the Securities and Futures Ordinance。
Applicants must at all times be responsible for the type of regulated activity for which they are applying for a license.，Maintain paid-up share capital and liquid capital of not less than the amount specified in the Securities and Futures (Financial Resources) Rules。
If an applicant applies for more than one type of regulated activity，Minimum paid-up share capital and liquid capital to be maintained，The higher or the highest amount specified in the relevant regulated activity applied for will be used.。
For Type 9 regulated activity，The minimum amount of paid-up share capital that a licensed corporation is required to maintain under normal circumstances is$5,000,000。
Related products：Hong Kong No. 1-9。
About Hong Kong Xintong
GXT-HKComposed of professional teams from mainland China and Hong Kong，Focus on providing global company registration、Financial license application、Bank account opening、One-stop cross-border services such as tax financial planning and compliance consulting，Core covers Hong Kong MSO license、Hong Kong Insurance Brokers and Hong Kong Money Lenders Licenses、US MSB license、Hong Kong 149 license、9license plate，Helping enterprises to go overseas efficiently and compliantly，Steady global layout。
