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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,今年仍有大量内地及香港企业通过新申请或Acquisition methodobtainHong Kong license number 9企业布局香港9号牌照的核心目的非常明确帮助客户开展海外投资配置,Improve international asset structure,并以合规方式拓展资产管理业务

香港9号牌照本质上是Asset management license类似内地市场常说的私募基金管理相关资质可用于发行私募基金或公募基金并为企业开展跨境资产管理基金管理及国际投资配置提供合规基础

香港9号牌照的业务价值

对于内地控股集团资产管理公司及上市平台而言香港9号牌照不仅是一项金融监管资质更是连接境内外资本资产与客户需求的重要合规工具。After obtaining the license,企业能够更系统地配置国际高科技资产、tourism assets、农业资产等多元化资产类别并为客户设计更具国际化和定制化的资产配置方案

随着海外投资需求持续增长香港作为国际金融中心的杠杆作用进一步凸显通过香港持牌平台投资人能够更有效地开展国际投资撬动更具价值的全球资产并在合规框架下提升资产配置效率

香港9号牌照办理流程与案例解读

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

中城银信办理香港9号牌照的重要原因之一是“一带一路”国家战略推动企业加速海外发展在这一战略背景下企业能够借助政策东风获得税收补贴等方面的支持也进一步增强了海外资产配置的现实需求

无论对企业还是个人而言快速配置更多元化的海外资产已经成为资产管理市场的重要趋势。As a mainland holding group,After Zhongcheng Yinxin completed the Hong Kong No. 9 license application,能够更好地布局国际高科技资产、tourism assets、Agricultural assets, etc.,与企业自身发展方向形成高度契合

除自身海外资产配置需求外中城银信亦希望在未来五年至十年内,Develop more diversified plans for customers、Customizable asset allocation solutions。Hong Kong 4、9Obtaining license plate,帮助企业打通境内与境外资产壁垒,Further expand market integration capabilities。

Case 2:Zhuoxin International acquires Hong Kong financial license

卓信国际作为香港上市公司于今年5月份完成一项大型并购,Directly acquired two companies for HK$30 million,并将香港9号牌照纳入业务体系这两家公司分别为资产管理公司及证券有限公司

通过收购方式取得Hong Kong 1、4、9license plateback,卓信国际同时获得了开展证券交易证券投资顾问及证券经纪人相关业务的经营范围对于希望快速开展香港持牌金融业务的机构而言收购现成持牌主体是一条值得重点评估的路径

What needs special reminder is that,如选择新申请香港9号牌照在香港设立子公司时公司名称中含有“资产管理”等相关字眼通常更有利于申请逻辑的呈现及业务定位的说明

Hong Kong No. 9 license application requirements

香港9号牌照办理条件主要体现在人员要求与公司要求两大方面。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,希望通过香港9号牌照配置海外资产因此牌照审批流程呈现出越来越严格的趋势

香港9号牌照属于香港正规法团开展资产管理业务所需持有的香港金融牌照监管机构会重点审查申请主体是否具备真实业务能力、Compliance management capabilities、负责人员及持牌人员配置以及是否能够有效保障投资者资产权益

Hong Kong No. 9 license application process

香港9号牌照申请主要是向Hong Kong Securities and Futures CommissionSFC提交相应申请材料SFC会对申请者的资质条件、Company structure、Staffing、business plan、内控制度及合规能力进行严格审核

只有在申请主体条件符合监管要求并能够证明其具备保障投资者资产利益的能力时SFC才会予以颁发香港9号牌照。therefore,申请前的架构设计、Data preparation、负责人员安排及合规文件搭建都会直接影响整体审批效率与成功率

港信通香港9号牌照办理建议

港信通是中港两地金融牌照办理服务商,Ten years of senior management experience,Has assisted more than 500 companies to obtain Hong Kong financial licenses。无论客户选择新申请还是直接收购港信通均可提供具有竞争力的报价方案价格低于同行报价8折

In the long-term process of docking with the Hong Kong Securities Regulatory Commission,港信通积累了大量办理资源针对尚未配置负责人员、individual licensee,Not sure how to register a Hong Kong company、注册何种类型香港公司的客户港信通能够结合客户具体情况定制一整套牌照申请或收购方案

目前港信通手头有现成的香港1、4、9Licenses are available for direct transfer。对于希望深入了解香港9号牌照办理条件、Application process、收购路径及牌照具体情况的企业,You can communicate directly with Hong Kong ICT consultants,获取更清晰的合规落地方案


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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