If mainland private equity companies plan to enter the Hong Kong market、Attract overseas resources，and provide mainland customers with richer investment channels.，通常需要取得Hong Kong Securities and Futures CommissionClass 9 license，i.e. asset management license。
Hong Kong’s financial industry implements license management system，There are currently ten types of financial licenses issued.。For mainland private equity institutions，or any institution intending to carry out asset management business in Hong Kong，Hong Kong license number 9：Process、Application requirements and case analysisIt is an important passport to enter the Hong Kong asset management market.，It is also a category that accounts for a relatively high proportion of mainland institutions applying for Hong Kong financial licenses.。
From a practical perspective，Hong Kong SFC No. 9 (asset Management)的申请并不简单。If your business wants to do business faster，Consider acquiring existing licensed resources；If you choose to apply new，You must complete the main body in advance、funds、personnel、Prepare in many aspects such as risk control and business structure。
Hong Kong No. 9 License Application Subject Requirements
The subject applying for Hong Kong No. 9 license must be a Hong Kong company，or already inHong Kong company registrationNon-Hong Kong companies registered with。Mainland private equity institutions usually choose to register a Hong Kong branch or Hong Kong company first，And use this entity as the license application entity。
throughout the application process，Registered capitalNot the only difficulty。The core that really affects the approval progress and pass rate，往往在于能否配齐符合监管要求的主要负责人及从业人员。
Registered capital and working capital requirements
The registered capital required to apply for Hong Kong No. 9 license is usually more than HKD 5 million.，At the same time, more than 3 million Hong Kong dollars are needed as working capital.。For companies that have a clear Hong Kong asset management business plan，Financial requirements are generally achievable。
- Registered capital：500More than 10,000 Hong Kong dollars；
- working capital：300More than 10,000 Hong Kong dollars；
- Funding arrangements need to match the scale and operation plan of the asset management business to be carried out。
Main person in charge and staffing requirements
Staffing is a key review matter in Hong Kong No. 9 license application。Regulatory authorities to the main person in charge、Director participation、Hong Kong’s local management capabilities and continuous compliance operation capabilities have detailed requirements。
- There should be no less than 2 main persons in charge；
- At least one principal responsible person must be a member of the board of directors；
- At least one principal responsible person must be based in Hong Kong，To carry out regulated business activities at any time and comply with regulatory requirements。
Educational and professional qualification requirements of the principal person in charge
The job threshold for the main person in charge is relatively high，Requires academic background that matches asset management business、Professional Qualification and Regulatory Examination Records。Usually one of the following conditions needs to be met：
- Hold a university degree in a specified range；
- Hold other degrees，And have passed at least two subjects in the specified range；
- Become a Chartered Financial Analyst、Certified financial planner and other professional qualifications。
Industry experience requirements for the main person in charge
In addition to academic and professional qualifications，The person in charge also needs to have sufficient industry and management experience。The general requirements are：In the last 6 years of work experience，Have at least 3 years of experience in related industries；At the same time, have more than 2 years of management experience，and pass the regulatory framework exam。
Risk control system、Organizational structure and business scope requirements
Except registered capital、In addition to the application subject and personnel requirements，Hong Kong No. 9 license application must also fully meet the Hong Kong Securities Regulatory Commission’s requirements for compliance operations。Businesses need to establish clear、An internal control system that is executable and matches the business scale。
- Establishment of risk control system；
- Organizational structure design；
- Business operation model description；
- Planned business scope；
- Compliance system and continuing operation arrangements in compliance with the requirements of the Hong Kong Securities and Futures Commission。
Regulatory review focuses not only on whether the company is qualified to apply，will also evaluate whether it has long-term、Stablize、Ability to conduct asset management business in compliance with regulations。
通过股权收购取得香港9号牌照
Hong Kong No. 9 license application is usually labor-intensive、Time and communication costs。For investors who want to start business activities in Hong Kong as soon as possible，Equity acquisition of existing licensed companies is a feasible way。
Hong Kong Xintong has been providing customers with Hong Kong financial license application and transfer services for a long time.，Currently has ready-made Hong Kong 1、4、9License resources are available for transfer。Customers who are interested in learning more about Hong Kong No. 9 license application or acquisition plans，You can contact Hong Kong Information Communications Consultants for specific assessment.。
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。
