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Hong Kong license number 9:Company and individual application requirements、Main advantages and transfer costs

Financial card care question

As the exchanges between the mainland and Hong Kong in financial and other fields become increasingly in-depth,,Affected by the tightening of financial regulations on the mainland and the continued downturn in the securities market,ApplyHong Kong license number 9The number of investors has increased significantly,Especially for large mainland private equity institutions,Hong Kong license number 9It is an important way to achieve effective allocation of funds.。

According to statistics,As of December last year,The number of institutions approved by the Hong Kong Securities Regulatory Commission to hold Type 9 license reaches 1,477,Last year alone, the number of applications reached 177。

After obtaining the license,Equivalent to having a passport to the international capital market,Overseas customers can realize asset allocation through fund custody.。At this stage,Hong Kong license screening standards for individuals and companies continue to improve,The following will analyzeHong Kong No. 9 plate applicationRelevant points of。

Hong Kong No. 9 plate applicationTypes and requirements

Hong Kong No. 9 License ApplicationCan be divided into company application and individual application,The licensing requirements for the two are different.。

Company licensing requirements

  1. Establish a Hong Kong company or register an overseas company in Hong Kong as the application subject;
  2. Have a business structure and internal control system approved by the China Securities Regulatory Commission,Sufficient personnel qualifications and experience;
  3. Strong financial position,Have a certain ability to pay debts;
  4. at least twoLicensee,There must be one executive director and at least one person in charge based in Hong Kong。

Individual licensing requirements

  1. The licensee must have graduated from a university degree program in a specified field;
  2. Have no less than three years of industry experience;
  3. Have more than two years of management experience;
  4. Passed the Hong Kong Securities and Futures Practitioners Qualification Examination,Obtain corresponding professional qualifications。

Difficulties and coping strategies in Hong Kong No. 9 license plate application

Because the requirements for licensees are higher,The main difficulty in applying for the Hong Kong No. 9 license plate is the search for talents.,Especially for mainlanders,Limited avenues for finding suitable responsible persons。At this time, you may consider applying through entrustment,Ability to staff appropriate licensed candidates。

The main advantages of applying for Hong Kong No. 9 plate

  1. Broaden the scope of investment targets,Improve the recognition of overseas investors;
  2. Enjoy Hong Kong tax benefits,Reduce tax burden;
  3. Meet investors’ needs for diversified asset allocation。

Hong Kong license transferFees and related services

Hong Kong Xintong has focused onHong Kong financial licenseApplication areas,Familiar with the application procedures for Hong Kong licenses No. 1 to 9,Always oriented to customer needs。In order to cater to the diversified needs of various customer business development,Now offering 1、2、3、4、6、9Transfer of a small number of current licenses such as numbers,The price is 20% lower than the market。Hong Kong No. 9 plate application details welcome further communication。


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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