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Hong Kong No. 9 plate application:License type、Compliance Requirements and Fee Differences

Regulation and application information related to Hong Kong No. 9 license plate application

August this year,大中华地产控股经Hong Kong Securities and Futures Commission批准,Through its indirect wholly-owned subsidiary Yangli Capital,Successfully obtained Hong Kong Type 4 (advising on securities) and Type 9 (asset management) licenses。It is worth noting that,The Type 9 license approved by Yangli Capital this time is an asset management type that does not hold client assets.,The access conditions are different depending on the type of client assets held.。

The highly open nature of the Hong Kong market,Make it an important hub for mainland capital to connect with the international market。Hong Kong license number 9:Core advantages、Licensing requirements and application processThe core functions are similar to those of mainland private equity funds.。2014The bull market in 2016 promoted the rapid expansion of the securities industry,However, after reaching the peak and entering the adjustment period,,Many small and medium-sized private equity firms have been hit,Forcing a large number of institutions to turn their strategic attention to the Hong Kong securities market,ApplyHong Kong No. 9 plateZhaosui has become a key step in entering the international capital market.。

As the core benchmark for the Hong Kong stock market,Hang Seng Index in Shanghai-Hong Kong Stock Connect、After the two major interconnection mechanisms of Shenzhen-Hong Kong Stock Connect were implemented successively,,Continue to show a steady development trend。By obtaining Hong Kong No. 9 plate,Enterprises or individuals can carry out diversified asset management and allocation on behalf of clients,Break through the original limitations in choosing investment channels,No longer constrained by too many local factors。

Apply for core qualifications

Use the path to successfully obtain a license as a reference,ApplyHong Kong SFC No. 9 (asset Management)The following regulatory conditions must be strictly met::

  1. Must own a Hong Kong company,Or legally register an overseas company in Hong Kong;
  2. Appoint at least two licensed responsible officers (ROs),Directly supervise and ensure the compliance of asset management business activities;
  3. Establish a business structure and internal control system that complies with the standards of the Hong Kong Securities and Futures Commission;
  4. Maintain sufficient liquid capital and paid-up share capital,To ensure the soundness of the company’s financial position。

Classification and cost differences of large and small nine-number cards

Before submitting application,Applicants must first clarify the specific business scope they intend to carry out。If you set up a private equity fund and provide services only to professional investors,Usually the application is "small number 9 plate”;If you plan to establish a public offering fund and conduct fund retail,You must apply for the "Big 9 License"。due to large、There is a significant difference in the difficulty of applying for the small 9 number plate,The disparity in related costs between the two is also quite obvious.。

香港9号牌申请相关监管与申请信息
Hong Kong No. 9 plate application

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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

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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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