Hong Kong No. 9 License主要适用于境外投融资业务。According to Hong Kong’s Securities and Futures Ordinance，Type 9 regulated activity所涵盖的“asset Management”，主要包括房地产投资计划管理，以及证券或期货合约管理。
香港九号牌照的适用业务范围
"Real Estate Investment Plan Management" for anyone，是指该人为另一人提供营办集体投资计划的服务；在该计划下管理的财产主要由不动产组成，同时该计划受《证券及期货条例》监管。
“证券或期货合约管理”就任何人而言，是指该人为另一人提供管理证券或期货合约投资组合的服务。企业如拟在香港开展相关资产管理业务，通常需要就第9类受规管活动向香港证监会申请牌照。
申请主体与胜任能力要求
申请香港九号牌照的主体，Must be a company incorporated in Hong Kong，Or a non-Hong Kong company registered with the Hong Kong Companies Registry。
申请人亦须具备充分的胜任能力，包括合适的业务架构、Good internal control system，以及合资格的人员配置，确保在开展业务计划书所列明的拟进行业务时，能够妥善识别、管理并控制相关风险。
in competence、操守准则及内部监控方面，企业应重点参考香港证监会发出的以下文件：
- "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 person与执行董事安排
For each type of regulated activity applied for，申请人必须委任至少两名负责人员，Directly supervise the relevant activities to be carried out。
at the same time，For each type of regulated activity applied for，申请人必须确保至少有一名负责人员可以时刻监督有关业务。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。
申请人拟委任的负责人员当中，至少须有一名为《证券及期货条例》所定义的执行董事。All executive directors must seek approval from the Securities and Futures Commission of Hong Kong，成为隶属于申请法团的负责人员。
申请人须在递交牌照申请时，一并向香港证监会递交所有拟成为负责人员的核准申请，以供证监会审查及考虑。
适当人选资格与财政资源要求
申请人的大股东人员、就或将会就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申请人有联系的任何其他人，All candidates must be suitably qualified。有关要求可参阅《证券及期货条例》第129条。
申请人在任何时候均必须就所申请获发牌照的受规管活动类别，维持不少于《证券及期货（财政资源）规则》所指明金额的Paid-up share capital及速动资金。
如申请人就多于一类受规管活动提出申请，Minimum paid-up share capital and liquid capital to be maintained，将以所申请相关受规管活动规定金额中的较高者或最高者为准。
For Type 9 regulated activity，持牌法团在正常情况下所须维持的缴足股本最低金额为$5,000,000。
Related products：Hong Kong No. 1-9。
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