If mainland private equity fund management institutions plan to enter the Hong Kong market，absorb overseas funds，and expand investment channels for mainland customers，Must hold a Type 9 regulated activity license issued by the Securities and Futures Commission of Hong Kong，Right nowAsset management license。Hong Kong’s financial industry implements license management system，A total of ten types of licenses are currently issued，inLicense No. 9Mainly for asset management business，It is a pass for mainland institutions to carry out asset management in Hong Kong.。
Application subject requirements
ApplyHong Kong license number 9The subject must be a Hong Kong registered company or a non-Hong Kong company that has been registered with the Hong Kong Companies Registry。Mainland private equity companies usually register a Hong Kong branch first，And use this branch as the applicant，Formal submission of license application to the Securities and Futures Commission of Hong Kong。
Registered capital requirements
In terms of funds，Applicants must meet the following conditions：Registered capital is not less than HK$5 million，and must have additional liquidity of more than HK$3 million。For companies planning to launch asset management business in Hong Kong，This funding threshold is usually easier to reach。
Responsible personnel qualifications
Staffing is the most challenging aspect of the Type 9 license application，The China Securities Regulatory Commission is very detailed in its review of responsible personnel.。Specifically，The number of responsible persons shall not be less than two，At least one of them must be a member of the board of directors，And at least one must be based in Hong Kong，In order to cooperate with the regulatory agencies’ on-site inspections and routine supervision at any time。
The responsible person must also possess one of the following academic or professional qualifications：Hold a university degree in a specified range；Or obtain other degrees but have completed at least two qualifying subjects in the specified range；Or earn the Chartered Financial Analyst (CFA) designation、Certified financial planner and other professional qualifications。Industry experience，It is required to have at least three years of relevant industry work experience in the last six years，Management experience of not less than two years，And need to pass the Hong Kong Financial Market Regulatory Framework Examination。
Other compliance matters
In addition to registered capital and personnel conditions，Applying for Hong Kong No. 9 license also needs to meet a series of regulations of the Securities Regulatory Commission.，Including establishing a complete risk control system、Design a clear organizational structure、Clarify business operation model and scope, etc.，Ensure compliance with regulatory standards in all aspects。
License acquisition channels
In view of the high time and labor costs involved in applying for the No. 9 license，Organizations interested in starting business as soon as possible can also choose toEquity acquisitionHow to obtain a ready-made license plate。GXT-HKCurrently offering Hong Kong 1、4、9License transfer services，Can assist customers to quickly complete the licensing process。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong Kong MSO Licenseandmoneylenders licenseApply for service，Assist customers to applyUS MSB license、NFA、RIA、Canadian MSB license、Mainstream overseas financial licenses such as Australia and Mexico，Support enterprises to achieve compliance expansion of cross-border financial business。Also availableCayman Islands Offshore Company Registration、Offshore fund establishment and global compliance operations and other services，Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more，Please contactHong Kong Information Communications Consultant。
