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Hong Kong No. 9 license application process、Application requirements and case analysis

Financial card care question

Continuing the market popularity from the previous year,This year, there are still a large number of mainland and Hong Kong companies that have passed new applications orAcquisition methodobtainHong Kong license number 9。The core purpose of the enterprise's layout of Hong Kong No. 9 license is very clear:Help customers carry out overseas investment allocation,Improve international asset structure,and expand asset management business in a compliant manner。

Hong Kong License No. 9 is essentiallyAsset management license,Similar to the qualifications related to private equity fund management often mentioned in the mainland market,Can be used to issue private equity funds or public funds,And carry out cross-border asset management for enterprises、Fund management and international investment allocation provide a compliance basis。

Business Value of Hong Kong License No. 9

For mainland holding groups、For asset management companies and listing platforms,Hong Kong License No. 9 is not only a financial regulatory qualification,It also connects domestic and foreign capital、Essential compliance tool for asset and customer needs。After obtaining the license,Enterprises can allocate international high-tech assets more systematically、tourism assets、Diversified asset classes such as agricultural assets,And design more international and customized asset allocation solutions for customers。

As overseas investment demand continues to grow,Hong Kong’s leverage as an international financial center is further highlighted。Through Hong Kong licensed platform,Investors can invest more efficiently internationally,Leverage more valuable global assets,and improve asset allocation efficiency within the compliance framework.。

Hong Kong No. 9 license application process and case interpretation

Case 1:Zhongcheng Bank Trust was awardedHong Kong 4、9license plate

One of the important reasons why Zhongcheng Yinxin applied for the Hong Kong No. 9 license,It is the “Belt and Road” national strategy that drives companies to accelerate overseas development。In this strategic context,Enterprises can take advantage of policies,get tax、Support such as subsidies,It also further enhances the actual demand for overseas asset allocation.。

Whether for businesses or individuals,Quickly allocate more diversified overseas assets,Has become an important trend in the asset management market。As a mainland holding group,After Zhongcheng Yinxin completed the Hong Kong No. 9 license application,Ability to better deploy international high-tech assets、tourism assets、Agricultural assets, etc.,It is highly consistent with the company's own development direction.。

In addition to its own overseas asset allocation needs,Zhongcheng Yinxin also hopes that within the next five to ten years,Develop more diversified plans for customers、Customizable asset allocation solutions。Hong Kong 4、9Obtaining license plate,Help enterprises break through domestic and overseas asset barriers,Further expand market integration capabilities。

Case 2:Zhuoxin International acquires Hong Kong financial license

Zhuoxin International is a Hong Kong listed company,Completed a large-scale merger and acquisition in May this year,Directly acquired two companies for HK$30 million,and incorporate the Hong Kong No. 9 license into the business system。The two companies are an asset management company and a securities company.。

Acquired through acquisitionHong Kong 1、4、9license plateback,Zhuoxin International also obtained the authorization to carry out securities trading、Business scope of securities investment advisory and securities broker-related businesses。For institutions that want to quickly launch licensed financial services in Hong Kong,Acquiring existing licensed entities is a path worthy of key evaluation。

What needs special reminder is that,If you choose to apply for a new Hong Kong license No. 9,When establishing a subsidiary in Hong Kong,The company name contains related words such as "asset management",It is usually more conducive to the presentation of application logic and explanation of business positioning.。

Hong Kong No. 9 license application requirements

The Hong Kong No. 9 license application conditions are mainly reflected in two aspects: personnel requirements and company requirements.。The number of organizations applying for Hong Kong license No. 9 has continued to increase in the past two years.,Especially mainland asset management companies,Hope to allocate overseas assets through Hong Kong No. 9 license,Therefore, the license approval process shows a trend of becoming more and more stringent.。

Hong Kong No. 9 license is a Hong Kong financial license required for formal Hong Kong corporations to carry out asset management business.。Regulatory agencies will focus on examining whether the applicant has real business capabilities、Compliance management capabilities、Responsible personnel and licensed staffing,and whether it can effectively protect investors’ asset rights and interests.。

Hong Kong No. 9 license application process

Hong Kong No. 9 license applications are mainly made toHong Kong Securities and Futures CommissionSFC submits corresponding application materials。SFC will determine the qualifications of applicants、Company structure、Staffing、business plan、Strict review of internal control systems and compliance capabilities。

Only when the conditions of the applicant meet the regulatory requirements,and can prove its ability to protect the interests of investors’ assets,SFC will issue Hong Kong No. 9 license。therefore,Architectural design before application、Data preparation、Responsible for personnel arrangement and construction of compliance documents,will directly affect the overall approval efficiency and success rate.。

Suggestions on applying for Hong Kong Xintong Hong Kong No. 9 license

Hong Kong Xintong is a service provider for financial licenses in China and Hong Kong.,Ten years of senior management experience,Has assisted more than 500 companies to obtain Hong Kong financial licenses。Whether the client chooses new application or outright acquisition,Hong Kong Xintong can provide competitive quotation plans,The price is 20% lower than the price quoted by peers。

In the long-term process of docking with the Hong Kong Securities Regulatory Commission,Hong Kong Xintong has accumulated a large amount of processing resources。For those who have not yet assigned a responsible person、individual licensee,Not sure how to register a Hong Kong company、What type of Hong Kong company customers should be registered?,Hong Kong Xintong can combine the specific situations of customers,Customize a complete license application or acquisition plan。

At present, Hong Kong Xintong has ready-made Hong Kong 1、4、9Licenses are available for direct transfer。For those who want to learn more about the application requirements for Hong Kong No. 9 license、Application process、Enterprises with acquisition paths and license details,You can communicate directly with Hong Kong ICT consultants,Get a clearer compliance implementation plan。


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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