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Hong Kong No. 9 plate:Process、Application conditions and case introduction

Hong Kong No. 9 plate:Process、Application conditions and case introduction|Hong Kong Xintong Financial Compliance Services

in recent years,A large number of mainland and Hong Kong companies have acquired through applications or acquisitionsHong Kong No. 9 License Application:Conditional requirements and overseas layout practices。This license is an asset management license,Equivalent to Mainland China’s private equity fund license,Holders can issue private or public funds,Help customers plan overseas investments、Improve international asset structure。

Process

Hong Kong SFC No. 9 (asset Management)The handling process mainly includes reporting toHong Kong financial license application:Application conditions、Process and Supervision Points(SFC) Submit application materials,SFC will strictly review the applicant's conditions,After ensuring that the applicant has compliance qualifications and can protect the interests of investors’ assets,,To be issued a license。The following are two typical cases。

Case 1:China Bank Bank was awarded Hong Kong 4、9license plate

Zhongcheng Yinxin applies for Hong Kong No. 9 plate,Mainly due to the “One Belt, One Road” national strategy to drive overseas development of enterprises,Enterprises can enjoy policy support such as taxation and subsidies。In this context,Both companies and individuals have the need to quickly allocate diversified overseas assets.。As a mainland holding group,Zhongcheng Yinxin passed the Hong Kong No. 9 license plate application,Able to better allocate international high-tech assets、tourism assets、Agricultural assets, etc.,In line with its development direction。also,Zhongcheng Yinxin also plans to diversify its customers in the next five to ten years.、Customizable asset allocation solutions,By getting Hong Kong 4、9License plates open up domestic and foreign asset barriers,Broaden market integration capabilities。

Case 2:Zhuoxin International acquires full Hong Kong financial license

Zhuoxin International is a Hong Kong listed company,Completed large-scale mergers and acquisitions in May this year,Directly acquired two companies for HK$30 million,Obtain Hong Kong 1 at the same time、4、9number plate。The two companies are an asset management company and a securities company.。Obtain multiple types of licenses through acquisition,To enable Zhuoxin International to possess securities trading capabilities、Business qualifications of securities investment consultants and securities brokers。Hong Kong market is like leverage,Help investors leverage more valuable international assets。

Need special reminder:If you newly apply for Hong Kong No. 9 plate,If the name of a subsidiary established in Hong Kong contains words such as "asset management",The application approval rate is relatively higher。

Application conditions

Personnel requirements

To apply for Hong Kong No. 9 license, you need to meet specific license qualifications and experience requirements.。Due to the surge in the number of applicants in recent years,In particular, mainland asset management companies hope to allocate overseas assets through this license.,SFC’s approval process becomes increasingly stringent。

香港9号牌相关监管与申请信息
Hong Kong No. 9 plate

Company requirements

The applicant organization must be a formal Hong Kong corporation,Have a compliant corporate structure、Complete risk control system and sufficient financial strength。The company name and business scope must be related to asset management,And it is necessary to ensure that the interests of investors’ assets can be protected。

Application process

The application process mainly includes submitting a complete set of application materials to SFC,SFC’s legal personality for applicants、Person in charge qualifications、Comprehensive review of company operating plans, etc.。After passing the review,SFC issues Hong Kong No. 9 plate。The entire cycle is subject to the completeness of application materials、The influence of factors such as personnel background and policy changes。


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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