If mainland private equity fund management institutions plan to enter the Hong Kong market，absorb overseas funds，and expand investment channels for mainland customers，须持有Hong Kong Securities and Futures Commission颁发的第9类受规管活动牌照，i.e. asset management license。Hong Kong’s financial industry implements license management system，A total of ten types of licenses are currently issued，其中第9号牌照主要针对资产管理业务，It is a pass for mainland institutions to carry out asset management in Hong Kong.。
Application subject requirements
ApplyHong Kong No. 9 License Application：Conditional requirements and overseas layout practicesThe subject must be a company registered in Hong Kong or haveHong Kong company registrationNon-Hong Kong companies registered with。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，ApplyHong Kong SFC No. 9 (asset Management)It 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，Institutions interested in starting business as soon as possible can also choose to obtain a ready-made license through equity acquisition.。Hong Kong Xintong currently provides Hong Kong 1、4、9License transfer services，Can assist customers to quickly complete the licensing process。
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。
