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

Financial card care question

As the public becomes more interested in financial management andasset Managementrecognition continues to increase,The asset management industry is ushering in a new round of development opportunities。In this context,Hong Kong license number 9(supplyAsset management services) has become an important layout direction for many institutions.。ApplyHong Kong No. 9 plateAlthough it involves many compliance requirements,However, it can be completed efficiently with the help of professional organizations。

Responsible personRequire

The company must have at least one responsible officer based in Hong Kong,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,The company must maintain a minimum of no less than HK$100,000Liquid capital

Seek help from professional organizations,Can significantly save manpower、Time and various hidden costs。Hong Kong Xintong International provides one-stop Hong Kong No. 9 plate application service,Help customers complete compliance arrangements efficiently with sincerity and professionalism。

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