Detailed introduction to Hong Kong Xintong Peng Yi Aaron said that if you are involved in asset management business in Hong Kong,，You need to apply for Hong Kong No. 9 financial license。
Hong Kong Financial License No. 9 is an asset management license，Type 9 investment license that can manage securities and futures contracts：An asset management license is used to manage securities or futures contract investment portfolios for customers on a discretionary basis and to manage funds on a discretionary basis.：Able to help overseas customers manage assets，It is a type of Hong Kong financial license sought after by large mainland private equity institutions.。
Among the many investors who inquire about the Hong Kong No. 149 license agency，Many are looking for companies with RO，But actually，If the company also holds a 149 license，Only 3 ROs are needed，Can be shared across individual posts,What are the requirements for applying for Hong Kong No. 149 license plate? The following is a detailed analysis of how to apply for a Hong Kong No. 149 financial license in China? What are the requirements?
Application conditions
：one. Incorporated：Must be a company incorporated in Hong Kong or an overseas company registered with the Hong Kong Companies Registry。two. Competence：You must satisfy the SFC that you have a suitable business structure、Good internal control system and qualified personnel，Sufficient to ensure that when you conduct your proposed business as detailed in your business plan，Ability to appropriately manage risks that may be faced。
three. Responsible person：For each type of regulated activity applied for，You must appoint at least two responsible officers to directly supervise the relevant activities you intend to carry out.。
- For each type of regulated activity applied for，There must be at least one responsible person who can supervise the relevant business at all times。As long as the appointee is a suitable candidate and the relevant arrangements do not create role conflicts，The same person can be appointed as a responsible officer for more than one type of regulated activity。
- Among the responsible officers to be appointed，At least one must be an executive director as defined in the Securities and Futures Ordinance。
- All executive directors must seek approval from the Securities and Futures Commission，to become a responsible officer of you as a corporation。
- When submitting your license application，Submit all approval applications for all proposed responsible officers to the SFC together，for consideration by the Securities and Futures Commission。
The above is some of Hong Kong Xintong International’s experience in handling the No. 149 license.，If you need to apply for a Hong Kong No. 149 license, you can consult Hong Kong Xintong International to apply for it.。
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