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Hong Kong No. 9 plate application:Responsible Personnel Requirements and Funding Requirements

Financial card care question

随着大众对金融理财和asset Management的认可度不断提升资产管理行业正迎来新一轮发展机遇。In this context,Hong Kong license number 9(提供Asset management services)成为众多机构的重要布局方向。ApplyHong Kong No. 9 plate虽涉及较多合规要求但通过专业机构协助可高效完成

Responsible personRequire

公司须至少有一名负责人员以香港为基地,Directly supervise asset management operations。Although the responsible officer does not need to be in Hong Kong at all times,However, it must be ensured that the Securities and Futures Commission can contact it immediately when necessary。also,All persons carrying out asset management activities on behalf of the company must be licensed aslicensed representative

funding requirements

The applicant company must meet the correspondingfunding requirements。If you only holdType 9 regulated activityLicense and does not hold client assets,公司须维持不低于10万港元的最低Liquid capital

寻求专业机构协助可大幅节省人力时间及各类隐性成本港信通国际提供一站式香港9号牌申请服务以真诚和专业帮助客户高效完成合规安排

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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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