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Hong Kong license number 9:Application conditions、Securities Regulatory Commission Assessment Criteria and Processing Fees

Hong Kong No. 9 License Fee Instructions

With the development of economy,Increasing demand from individuals and businesses for professional asset management。在香港设立资产管理公司必须持有香港证券及期货事务监察委员会(证监会)颁发的第9类受规管活动牌照(即9号牌)。9The application for license plate has strict requirements on institutional qualifications and staffing.,Must fully meet the audit standards of the China Securities Regulatory Commission。

香港9号牌照:申请条件、证监会评估准则与办理费用配图1
Hong Kong license number 9:Application conditions、Securities Regulatory Commission Assessment Criteria and Processing Fees:Relevant supervision and handling points

Basic requirements for Hong Kong No. 9 license application

The SFC will only grant licenses to applicants (including corporations or individuals) who meet the "fit and proper criteria"。When the SFC assesses whether an applicant is a fit and proper person,The following aspects will be considered:

  1. Financial condition and solvency;
  2. Academic or other qualifications and experience,and will take into account the nature of the functions proposed to be performed by the applicant;
  3. Are you capable of doing your job competently?、Carry out relevant regulated activities honestly and fairly;
  4. Reputation、character、Reliability and financial soundness。

also,Licensed corporations and their affiliated individuals are required to comply with other relevant legal requirements including immigration and taxation。

香港9号牌照申请条件
Hong Kong No. 9 license application conditions

Fees for Hong Kong No. 9 license application and purchase of qualifications

Hong Kong license number 9handlingHong Kong No. 9 financial license:Application conditions、Process and cost factors及收购现有持牌资质的费用因个案情况差异较大,Mainly includes application fee、Compliance advisory fees、Staffing costs and subsequent operating expenses, etc.。If you are interested in knowing the specific fee structure or getting an instant quote,Welcome to contact Hong Kong Information Communications Consultants directly for detailed consultation。

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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