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Hong Kong No. 9 license application and transfer:capital conditions、Responsible Personnel Regulations and Company Acquisitions

Hong Kong No. 9 license application and transfer:capital conditions、Responsible Personnel Regulations and Company Acquisitions|Hong Kong Xintong Financial Compliance Services

Some companies provide quick access toHong Kong license number 9:Core advantages、Licensing requirements and application process,through direct acquisitionHong Kong No. 9 license plate qualification transfer:Process、Company requirements and asset conditions(commonly known as "buying a license")。It should be noted that,The license itself is not transferable individually,Must be completed through company equity acquisition。therefore,Entrust a professional agency to assist in completing the application or transfer,Become the choice of many companies。Will be introduced in detail belowHong Kong license number 9Apply:Conditional requirements and overseas layout practicesHong Kong No. 9 license agency:Application requirements、Assessment focus and management advantages,and purchaseHong Kong Asset Management License No. 9:Application conditions、Main advantages and how to obtain themrelated requirements。

香港9号牌照申请与转让:资本条件、负责人员规定及公司收购配图1
Hong Kong No. 9 license application and transfer:capital conditions、Responsible Personnel Regulations and Company Acquisitions:Relevant supervision and handling points

Basic requirements for Hong Kong No. 9 license application

Apply for a Type 9 (asset management) license from the Hong Kong Securities and Futures Commission,The following core conditions must be met:

  1. Must be a limited company incorporated in Hong Kong or a non-Hong Kong company registered with the Companies Registry。
  2. The company has an actual Grade A office address in Hong Kong。
  3. Have an experienced management team、Clear business framework、Complete internal control system and qualified responsible officer (RO)。
  4. There must be at least two licensed representatives,There are no special restrictions on the nationality of licensed individuals and responsible persons。
香港9号牌照申请与转让:资本条件、负责人员规定及公司收购配图2
Hong Kong No. 9 license application and transfer:capital conditions、Responsible Personnel Regulations and Company Acquisitions:Relevant supervision and handling points

Capital and bank account requirements

The registered capital of the company must reach HKD 5 million,And must continue to maintain paid-in share capital and liquid capital of no less than 3 million Hong Kong dollars.。also,The company must open a bank account in Hong Kong,To meet the capital depository requirements for daily operations and supervision。

Special Provisions for Responsible Officer (RO)

On the basis of meeting the basic requirements of responsible personnel,The Hong Kong Securities Regulatory Commission also has the following special regulations::

  • At least one responsible officer must be based in Hong Kong,To directly supervise related business。
  • At least one responsible officer must serve as a member of the company's board of directors。

Although the above conditions seem clear,However, the China Securities Regulatory Commission has strict requirements on the background of senior executives.、The company’s compliance structure is highly scrutinized,Self-application often has a lower success rate。Coordinate data and processes through experienced agencies,Can significantly improve approval efficiency。

Key points for transfer of Hong Kong No. 9 license

Directly purchase licensed companies that have been approved for license No. 9,It’s a faster way to enter。The transfer must be carried out by acquiring the company's equity,Regulators do not allow licenses to be transferred separately from the company body。Hong Kong Xintong has ready-made licensed companies available for transfer,Covers newly established non-business types and customer entrusted transfer types,To meet the needs of different business startup rhythms。

If you want to know more about the conditions for applying for Hong Kong No. 9 license,Or interested in purchasing an existing asset management license,Welcome to contact us directly。

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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