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Hong Kong No. 9 license application process,Hong Kong Asset Management License Application Process

Financial card care question

改革开放以来,my country's social and economic level has achieved rapid development,The people are concerned about assets,There is also more demand for investment。Our country’s financial needs are gradually increasing,The financial industry has also developed along with the trend。But after all, it is a matter related to people’s livelihood.,In order to standardize the industry,Whether it is the Mainland or Hong Kong,There are many financial licenses。

This article mainly talks about Hong Kong’s No. 9 license

Application process

Hong Kong Asset Management License

Application process

Private equity firms planning to apply for a license in Hong Kong must meet the following requirements:

Require

  1. Overseas corporations incorporated in Hong Kong or registered with the Companies Registry;
  2. The financial status and solvency are good and all company personnel have certain qualifications and experience.;
  3. The company must demonstrate that it has an appropriate business structure、Good internal control system and qualified personnel;
  4. A licensed asset management company must have at least two responsible officers;
  5. One less responsible officer must be a member of the board of directors;
  6. If you need to hold client assets,Low paid-up capital of HKD 5 million,Liquid capital is no less than HKD 3 million,In addition, the company needs to comply with strict risk control mechanisms。

In terms of personnel, individuals include relevant responsible persons and relevant licensed representatives. If they apply for a license from the Securities and Futures Commission,Must demonstrate competence and integrity standards to the SFC,Be a fit and proper person to carry out regulated activities。It was also said above,The financial industry is related to people’s livelihood,Therefore, the relevant departments’ control over it can be said to be very strict.,If you want to know about Hong Kong No. 9 plate

Application process

Hong Kong Asset Management License

Application process

There are many things to pay attention to。

I hope everyone can handle it successfully。If there is any need for a license,Welcome to contact me directly。Related products:Hong Kong license number 9

Application process

Hong Kong Asset Management License

Application process


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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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