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Hong Kong financial license application:Company registration conditions、Responsible for staffing and capital thresholds

Financial card care question

随着全球金融市场的持续向好大量资金正在寻求稳健的投资保值机会香港作为国际领先的金融中心无疑是开展金融业务的理想区域若计划在香港从事受规管的金融投资活动企业必须持有香港证监会(SFC)核发的相应牌照港信通国际在协助各类机构申请Hong Kong financial license方面拥有丰富的实务经验可为申请者提供全流程支持

香港凭借成熟的监管架构深厚的专业积累和高度开放的制度已成为亚洲首选的离岸与非离岸金融枢纽鉴于内地A股市场尚未完全实现国际化越来越多的私募基金管理机构开始布局香港通过设立本地公司引入海外投资者香港证监会将受规管活动分为十类,1st among them、2、4、6、9类牌照为市场热门之选不同类别的牌照申请要求与难度存在差异

牌照申请的基本要求

According to the regulations of the Securities and Futures Commission of Hong Kong,申请牌照的企业须全面满足以下条件

公司资质与办公场所

  1. 须为香港注册成立的有限公司,or a non-Hong Kong company registered with the Hong Kong Companies Registry。
  2. 必须在香港设有实际的甲级写字楼办公地址
  3. 注册资本不低于500万港币且必须始终保持实缴股本及流动资本不少于300万港币
  4. 须在香港银行开立企业账户

管理团队与Responsible person

  1. 企业须具备经验丰富的管理团队建立完善的业务框架及内部监控系统并配备合格的负责人员(Responsible Officers)
  2. 至少拥有两名持牌代表证监会对持牌人及负责人员的国籍无任何限制或特别规定
  3. 至少一名负责人员必须以香港为常居基地以便直接监督相关受规管活动
  4. 上述以香港为基地的负责人员中至少一名须担任公司董事局成员

Hong Kong Xintong International is inHong Kong license plates No. 1 to 9申请领域积累了十三年的商务服务经验成功交付大量案例并持续储备了完整干净的壳牌资源可帮助企业快速入驻高效展业


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