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Hong Kong No. 9 License Application:Application conditions、Personnel requirements and costs

Financial card care question

Hong Kong license number 9It is a key qualification for asset management companies to win the trust of customers.,It is also a legal requirement for conducting asset management business in Hong Kong.。The following will introduce in detail the Hong Kong No. 9 licenseApplication conditionsandcostconstitute。

Application conditions

Private equity firms intending to apply for a license in Hong Kong must meet the following requirements:

  1. Overseas corporations incorporated in Hong Kong or registered with the Companies Registry;
  2. The financial status and solvency are good and all company personnel have certain qualifications and experience.;
  3. The company must demonstrate that it has an appropriate business structure、Good internal control system and qualified personnel;
  4. Licensed asset management companies must have at least twoResponsible person
  5. One less responsible officer must be a member of the board of directors;
  6. If you need to hold client assets,Low paid-up capital of HKD 5 million,Liquid capital is no less than HKD 3 million,In addition, the company needs to comply with strict risk control mechanisms。

Personnel requirements

Relevant responsible persons and licensed representatives should report toSecurities Regulatory CommissionWhen applying for a license,Must demonstrate competence and integrity standards,Be a fit and proper person to carry out regulated activities。Hong Kong No. 9 license application involves many details,Although the Securities and Futures Commission has detailed official guidance,There are still many aspects that need to be paid attention to in actual operation。

Application fee

The application fee for Hong Kong Type 9 license varies depending on the circumstances of the case.,Involving registered capital、Liquid capital and professional services, etc.。For specific fee details and assessments,Welcome to contact Hong Kong Information Communications Consultants。


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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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