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Hong Kong No. 9 plate qualification application process,Hong Kong asset management qualification application process

Financial card care question

Hong Kong Xintong Peng Yi said qualifications:importance of finance,The importance of financial management has been recognized by the general public,Now simple investment and financial management such as Yu’e Bao,Businesses such as asset management have also entered people’s field of vision,It is foreseeable,The asset management industry will usher in a period of growth in the coming years。Due to the difficulty in applying for Hong Kong No. 9 plate,Many people choose to seek help from agencies。If you have such needs, please contact me directly.。

Although the Securities and Futures Commission

Require

At least one responsible officer must be based in Hong Kong,in order to directly supervise the relevant business,However, the responsible officer does not need to be in Hong Kong at all times,The condition is that when necessary,The SFC must have immediate access to at least one responsible officer of the asset management company。Except for the person in charge,Any person who is a licensed asset management company or conducts asset management activities on its behalf must be licensed as a representative。

Companies planning to apply for an SFC license must also meet relevant capital requirements。If you hold a Type 9 regulated activity license and will not hold customer information,The company must maintain a minimum liquid capital of HK$100,000。If you want to save time, effort and money,You can contact us directly at Hong Kong Xintong International。Save on interpersonal fees,Business accommodation expenses,Personnel training fees, etc.。We sincerely communicate with you,At your service wholeheartedly。


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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