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Hong Kong license number 9:Process、Application conditions and license transfer cases

Hong Kong Type 9 License Transfer Guide

Hong Kong license number 9yesHong Kong Securities and Futures Commission监管下的asset Managementlicense,Functionally equivalent to Mainland China’s private equity fund manager license,After obtaining the license, you can issue private funds or public funds in accordance with the law.。in recent years,越来越多内地及香港公司通过新申请或收购方式配置9号牌照,To lay out overseas investment、Improve international asset structure。

Hong Kong No. 9 license application conditions

License approval mainly focuses on two aspects: personnel requirements and company requirements.。As the number of applicants continues to increase,In particular, the influx of mainland asset management companies,The Hong Kong Securities and Futures Commission’s audit standards are becoming increasingly stringent。Applicants must prove that they have sufficient compliance capabilities and investor protection mechanisms,Only then can you obtain the wholesale license。

Application process

The core of the application process is to submit a complete set of application materials to the Hong Kong Securities and Futures Commission (SFC),And the SFC will review the applicant’s background、Conduct substantive review of personnel qualifications and business plans,Ensure that it has all the conditions to safeguard the interests of investors’ assets。

香港9号牌照申请与转让相关监管与申请信息
Hong Kong No. 9 license application and transfer

Typical cases

China Bank Bank was awarded Hong Kong 4、9license plate

Zhongcheng Yinxin applies for No. 9 license,Closely related to the “Belt and Road” national strategy。in tax、With the support of subsidies and other policies,The group needs to more efficiently meet the diversified overseas asset allocation needs of itself and its clients.。By holding plate number 9,Zhongcheng Yinxin can directly deploy international high-tech、Tourism and agricultural assets,Highly consistent with the development direction of the group。at the same time,4Combination of No. 9 and No. 9 license plates,We will also develop more customized cross-border asset solutions for customers in the next five to ten years.、Breaking down domestic and foreign asset barriers provides a solid platform。

Zhuoxin International acquires full Hong Kong financial license

Zhuoxin International is a Hong Kong listed company,In May this year, it acquired two Hong Kong companies at one time for HKD 30 million.,The following licenses were obtained:

  1. 1License plate (securities trading)
  2. 9License plate (asset management)

After the acquisition is completed,Zhuoxin International also owns securities exchange、Securities investment consultant and securities brokerage qualifications。The Hong Kong market provides investors with leverage to leverage international high-quality assets.。In addition, please note,If you obtain the No. 9 plate through a new application,If the name of the Hong Kong subsidiary contains words such as "asset management",Will help improve the approval success rate。


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。

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connect:Hong Kong Information Communications Consultant

Picture of Zhou Haoming

Zhou Haoming

Zhou Haoming has experience in the fields of asset management and securities regulatory compliance in Hong Kong. 8 years of experience,Served in key business and compliance positions in a licensed asset management company。He is familiar with the Hong Kong Securities and Futures Commission (SFC) regarding 9 Application conditions for asset management license、Risk control framework requirements、internal compliance system、Compliance rules such as portfolio management control and officer qualification requirements。Zhou Haoming is good at formulating internal compliance manuals and ongoing operational compliance processes that comply with the Securities and Futures Ordinance.。

Areas of expertise:SFC 9 Application for number license、risk control framework、Officer qualification requirements、Securities and Futures Ordinance、Internal Compliance Manual。

Previous institutions:Hong Kong licensed asset management company & SFC Compliance Team

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