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Hong Kong license number 9:Advantages and requirements

Hong Kong license number 9:Advantages and Requirements | Hong Kong Xintong Financial Compliance Services

As the registration threshold for domestic private equity funds continues to increase,,Domestic investment channels are limited,More and more mainland private equity institutions choose to deal with or acquireHong Kong license number 9:Core advantages、Licensing requirements and application processto expand Hong Kong’s financial market。Hong Kong license number 9:Application requirements、Overseas routes and cost analysisIt is a Type 9 regulated activity license under the Securities and Futures Ordinance,Hong Kong No. 9 license plate qualification transfer:Process、Company requirements and asset conditionsCan provide securities and various types of securities to overseas customers in Hong KongAsset management services

香港9号牌照:优势与要求配图1
Hong Kong license number 9:Advantages and requirements:Relevant supervision and handling points

Classification and Obtaining Methods of Hong Kong No. 9 License

Hong Kong number 9 cards are divided into small 9 cards and big 9 cards,The distinction lies in whether it is allowed to hold client assets for operations。Big 9 cards can hold customer assets,It is more difficult to apply than the small 9 card。If mainland private equity companies want to obtain this license,You can also entrust a third party to handle it,You can also directly acquire existing licensed companies。Taking into account the policy differences between Hong Kong and the Mainland,Acquisitions have become a common option。

香港9号牌照核心优势
Core advantages of Hong Kong No. 9 license

Advantages of Hong Kong License No. 9

After obtaining Hong Kong license No. 9,Mainland private equity companies can significantly expand their business scope。Investment targets can be expanded to overseas equity assets that were previously restricted、Derivatives, etc.。at the same time,Licensed institutions can better meet the diversified allocation needs of high-net-worth customers at home and abroad,And can enjoy the tax advantages of Hong Kong。

Requirements for applying for Hong Kong license No. 9

If investors do not agree with the acquisition method,You can also choose to apply directly,But the processing cycle is longer。Applicants need to establish a company or overseas corporation in Hong Kong,Verification of its financial status by the Securities and Futures Commission of Hong Kong、Solvency and personnel qualifications。To apply for Hong Kong No. 9 plate, at least two licensed persons in charge must be assigned,One of them must be a member of the board of directors。If you apply for Big 9 cards,There are additional requirements for paid-up share capital and liquid capital。It takes a long time to prepare relevant conditions and materials,Therefore, acquisition methods are more generally accepted by investors.。

The process of acquiring Hong Kong No. 9 license

The acquisition of Hong Kong No. 9 license is similar to the general company transfer process。Applicants need to conduct due diligence on license qualifications,After selecting the acquisition target,Complete corresponding information changes and regulatory review,Asset management business can be officially launched。


About Hong Kong Xintong

GXT-HKComposed of professional teams from mainland China and Hong Kong,Focus on providing global company registration、Financial license application、Bank account opening、One-stop cross-border services such as tax financial planning and compliance consulting,Core covers Hong Kong MSO license、Hong Kong Insurance Brokers and Hong Kong Money Lenders Licenses、US MSB license、Hong Kong 149 license、9license plate,Helping enterprises to go overseas efficiently and compliantly,Steady global layout。

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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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