Recently，The Hong Kong Securities and Futures Commission has successively issued Type 9 regulated activity licenses (commonly known as "No. 9 License") to a number of institutions.，Among the institutions that have been issued licenses, there are many companies with Chinese-funded backgrounds.，Including China Post Venture International Asset Management and Zhongrong International Asset Management, etc.。Market analysis points out，With the advancement of the Shenzhen-Hong Kong Stock Connect mechanism and the development of Shenzhen Qianhai Financial Service Center，The demand from mainland financial institutions and leading enterprises to set up asset management companies in Hong Kong continues to rise，make9license plateHighly sought after。Hong Kong license number 9Mainly used for overseas investment and financing business，The following are the main conditions for applying for this license。
Hong Kong No. 9 License Application Requirements
The core requirements for applying for Hong Kong Type 9 license cover company registration、Competence、Responsible personequipped、Main personnel qualifications and financial resources, etc.，Details are as follows：
- A company that must be incorporated in Hong Kong，or a non-Hong Kong company registered with the Hong Kong Companies Registry。
- Have the right business structure、Good internal control system and qualified personnel，Sufficient to ensure that when carrying out the business described in the business plan，Able to properly manage corresponding risks。
Detailed guidance on competencies，Please refer to the following documents issued by the Securities and Futures Commission："Guidelines on Competence"；Code of Conduct for Persons Licensed or Registered with the Securities and Futures Commission；and "Management Applicable to Persons Licensed or Registered by the Securities and Futures Commission"、Supervision and Internal Control Guidelines"。
Responsible personnel requirements
- for each type of regulated activity，At least two responsible officers must be appointed to directly supervise the relevant activities to be carried out。
- for each type of regulated activity，There must be at least one responsible person available to supervise the business at all times；If the appointee is a suitable candidate and the arrangement does not cause role conflict，The same person may be appointed as responsible officer for more than one type of regulated activity。
- Among the responsible officers to be appointed，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，To become a responsible officer of a licensed corporation。
- When submitting your license application，Approval applications for all proposed responsible officers must be submitted to the SFC together，for consideration。
Qualifications of suitable candidates for major shareholders and senior personnel
major shareholder、senior staff，and any other person employed by or associated with the regulated activity to which the application relates，All candidates must be suitably qualified。For details, please refer to Section 129 of the Securities and Futures Ordinance。
financial resource requirements
Applicants must at all times be responsible for the type of regulated activity for which they are applying for a license.，WillPaid-up share capitalandLiquid capitalMaintained at no less than the Securities and Futures(financial resources)The amount specified in the Rules。If you apply for more than one type of regulated activity at the same time，The higher of the amount specified in the various types of activities applied for should be maintained.。Taking Type 9 regulated activity as an example，A licensed corporation must maintain a paid-up share capital of HK$5,000,000 under normal circumstances，Liquid capital is HK$3,000,000。
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