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Hong Kong license number 9:Processing requirements and fees

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As the financial markets of the Mainland and Hong Kong become increasingly interconnected,,More and more mainland companies are turning their attention to Hong Kong,To obtain an international development platform。in,Hong Kong license number 9As one of the top ten types of brokerage licenses in Hong KongAsset management license,Depend onHong Kong Securities and Futures Commission(SFC) issued,Become a mainland private equity fund、Key qualifications for asset management companies to enter the international market。Companies can obtain this license by directly applying or acquiring an existing licensed company.,To carry out asset management business in Hong Kong,Attract international investors。

Application processing requirements

Apply for Hong Kong License No. 9,Applicants must meet the following conditions:

  • A company must be registered in Hong Kong,And the registered capital is not less than HK$5 million。
  • Have a physical office address in Hong Kong。
  • Have a complete internal business framework,and has an experienced management team responsible for company operations。
  • Establish a good internal control system and risk management mechanism,Equipped with qualified compliance and risk control personnel,Ensure business operations comply with relevant laws and regulations。

Review pointsandcost difference

The Hong Kong Securities Regulatory Commission is extremely strict in reviewing applications for Type 9 licenses,The applicant’s shareholder background will be comprehensively assessed、Nature of business、Business scope、Operation mode、Asset management programs, etc.。Since each applicant’s specific situation is different,There is a huge difference in costs,Including but not limited to company registration and maintenance costs、Office space rental、personnel compensation、System construction、Professional consulting service fees, etc.。Obtaining the No. 9 license is not only recognition of corporate compliance capabilities,It is also an important manifestation of the comprehensive strength of the enterprise.。

Market dynamics and opportunities

Data display,2016A total of 165 institutions successfully obtained Hong Kong license No. 9 in 2018,Started overseas business。Private equity institutions’ demand for license No. 9 continues to grow,In order to deploy as early as possible, many companies、Avoid increasing entry barriers in the future,The application process has been started in advance。If you are interested in obtaining the Hong Kong No. 9 license through application or acquisition,It is recommended to plan as early as possible。

If you need to know the specific fees and procedures for Hong Kong No. 9 license application,Welcome to contact Hong Kong Information Communications Consultants,Get exclusive professional advice。


About Hong Kong Xintong

Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong 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

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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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