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Hong Kong No. 9 financial license:Application process and required information

Financial card care question

Hong Kong No. 9 financial licenseAs a type of qualification management license with more complete functions,It has long attracted the attention of many companies。Because it involves a wide range of financial business areas,Not only is this license difficult to apply for,,The number of applicants is also very large。For the need to carry outHong Kong financial businessFor enterprises,get9license plateIt is an important foundation for compliance development。

Shenzhen Port Xintong International deeply cultivatesFinancial license agencyThirteen years in the field,Accumulated rich application experience。Based on past practical cases,Apply for Hong Kong License No. 9A complete set of the following information needs to be prepared systematically。

Application information list

  1. The name or title to be used
  2. Reason for using this name or title
  3. Detailed description of the nature of actual or proposed business activities
  4. The time and place at which the relevant business will be or is being carried on
  5. Date and place of incorporation
  6. A copy of the company’s currently adopted memorandum and articles of association
  7. A copy of the most recent audited accounts and annual report
  8. Provide independent assurance reports
  9. Business plan for the first three years of the branch or subsidiary to be established in Hong Kong
  10. Major shareholders、Names and addresses of directors and chief executive
  11. Company address
  12. any other required data

The above are the core materials and details required to apply for Hong Kong No. 9 license。If your company is preparing to apply,Welcome to consult Hong Kong Xintong International。With thirteen years ofFinancial license application experience,Hong Kong Xintong can provide you with professional、Efficient agency service。


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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Hong Kong and Chinese team · Senior financial compliance experts