Hong Kong license number 9：Core advantages、Licensing requirements and application process是从事资产管理服务的重要监管资质。For those planning to carry out asset management in Hong Kong、For institutions engaged in fund management or cross-border investment management business，obtainPractical analysis of Hong Kong 149 license：Business advantages、Application conditions and application suggestionsRelated licenses，It is a key prerequisite for entering the compliance management system.。
Hong Kong has long served as an important bridge for mainland funds to invest overseas.，Interpretation of the classification of Hong Kong financial licenses：1-10Application guide for popular licensesmarket attention continues to rise。Authoritative data statistics display，As of the end of 2016，holdHong Kong No. 9 License Application：Conditional requirements and overseas layout practicesThere are a total of 1,300 institutions，There are 6,366 licensed individuals in total。As the demand for cross-border financial services grows，The commercial value and compliance threshold of Hong Kong’s No. 9 license have also increased simultaneously.。
How to obtain Hong Kong No. 9 license
There are usually two ways to obtain Hong Kong license No. 9，Enterprises can plan according to their own business、Choose the right solution based on time, cost and compliance：
- Through newly registered Hong Kong companies or eligible entities，Submit application for Type 9 license to the Securities and Futures Commission of Hong Kong。
- Directly acquire a company that already holds relevant Hong Kong licenses，To achieve faster business layout。
Both methods have applicable scenarios。The new application is more suitable for those who want to build their own equity structure、Enterprises with business systems and internal control systems；Acquisition of licensed companies is more suitable and requires higher landing time.、Institutions that want to start compliance business as soon as possible。
Hong Kong No. 9 license application process
Hong Kong No. 9 license application usually needs to focus on the company's main body、business structure、Staffing、Funding arrangements、Prepare from multiple dimensions such as internal control and compliance systems。After meeting the basic conditions, the enterprise，Applications can be submitted to the Securities and Futures Commission of Hong Kong as required.，The regulatory agency will review the applicant and relevant personnel。
In the actual process of handling，Completeness of application information、Business model clarity、Responsible personnel’s qualifications，and the enforceability of the internal control system，will directly affect the approval progress and results.。We recommend that companies complete a systematic assessment before formal submission，Avoid missing data、Unclear structure or insufficient personnel qualifications lead to repeated parts replacement。
Core requirements for Hong Kong No. 9 license application
The Hong Kong Securities Regulatory Commission has clear requirements for Type 9 license applications。first，The applicant company needs to establish a company in Hong Kong，Or register as a non-Hong Kong company at the Hong Kong Companies Registry。Secondly，Company business structure、Internal control systems, etc. need to comply with regulatory requirements，Ensure future business can continue to operate within a compliance framework。
The applicant organization also needs to have at least two responsible personnel，And the responsible person needs to pass the proficiency test。The responsible officer not only plays a key role in the license application，He will also continue to be responsible for the management and supervision of regulated activities after the company is approved.。
Personnel qualifications and industry experience requirements
In terms of industry qualifications and academic background，Regulation generally tends to recognize business administration、Accounting、Broker、Finance or law or other related degree background。Staff’s industry experience，Requires 3 years of relevant industry experience within the last 6 years，And have more than two years of management skills and experience，Pass the supervisory certification exam at the same time。
Staffing is a key review link in Hong Kong No. 9 license application。Companies not only need to meet headcount requirements，It is more necessary to prove the academic qualifications of the person in charge、experience、There is a substantial match between management capabilities and the business to be carried out。
Capital and Liquidity Requirements
Funding，The paid-in capital of the applying enterprise needs to be more than HKD 5 million.。Liquidity funds vary according to category，Usually ranging from 100,000 to 3 million Hong Kong dollars。
Funding arrangements not only reflect the financial basis for enterprises to carry out asset management business，It is also related to the Hong Kong Securities Regulatory Commission’s judgment on the financial status and solvency of the applicant organization.。Enterprises should combine the actual business scope，Plan capital structure and liquidity arrangements in advance。
The key review directions of the Hong Kong Securities Regulatory Commission
During the application review process，The Hong Kong Securities and Futures Commission mainly focuses on whether the applicant institution and relevant personnel are suitable。Key considerations include：
- The financial position and solvency of the applicant institution；
- Educational qualifications of responsible personnel and key personnel、Qualifications or relevant experience；
- The credibility of the applicant and relevant personnel、character、reliability；
- Corporate financial soundness；
- business structure、Whether the internal control system and compliance management arrangements meet regulatory requirements。
The difficulty in applying for Hong Kong’s No. 9 license exists objectively。Precisely because the barriers to entry are high，The value of the license plate is also more prominent.。Enterprises should be established from the main body、Personnel qualifications、capital conditions、Advance deployment of business systems and regulatory communication, etc.，To improve the application success rate。
Advice on applying for Hong Kong No. 9 license
Hong Kong No. 9 license application involves regulatory judgment、Document preparation、Personnel adaptation and business model demonstration and other aspects，During the actual application process, the situation of the applicant may also vary.、Specific differences arise due to changes in business types and regulatory requirements，In the end, the actual processing requirements shall prevail.。
We can assist companies in assessing the Hong Kong Type 9 license application requirements、Sort out the process、Design compliance architecture，And provide professional consultation on different types of Hong Kong financial licenses。There are also existing No. 149 licenses available for transfer.，Suitable for further evaluation by institutions wishing to accelerate their layout through acquisitions。
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。
