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Hong Kong Asset Management License No. 9:Application conditions、Licensee requirements and cross-border investment examples

Hong Kong No. 9 license application conditions
香港9号牌照申请条件
Hong Kong No. 9 license application conditions

香港9号牌照概述

Hong Kong Financial License No. 9 is a Type 9 regulated business qualification license issued by the Securities and Futures Commission of Hong Kong in accordance with the Securities and Futures Ordinance.,也称资产管理牌照。Hong Kong’s financial licensing system covers ten types of regulated activities,in9license plate专门针对资产管理业务。Driven by interconnection mechanisms such as Shenzhen-Hong Kong Stock Connect,Mainland institutions have actively applied for or acquired Type 9 licenses in recent years,To expand the cross-border asset management market。

香港9号牌照申请流程
Hong Kong No. 9 license application process

Basic requirements for applying for Hong Kong No. 9 license

Apply for Hong Kong Asset Management License No. 9,Core requirements include having at least twolicensed representative(person in charge)。If the applicant can provide some qualification documents by himself,The overall service fee will be reduced accordingly;If you choose the all-inclusive plan,The cost is basically the same as directly acquiring an existing license.。Specific application and acquisition plans,For consultation, please call Hong Kong Information Network,。

License application examples:私募基金跨境收购

持有9号牌照的香港private equity funds可灵活参与海外投资。Nuo Capital, a private equity fund under the Hong Kong Bao Group, recently acquired a 30% stake in Sozzi Arredamento Group, the parent company of Italian luxury furniture brand Promemoria.。Romeo Sozzi, president and founder of the group announced,Signed a medium- and long-term cooperation agreement with Nuo Capital。

According to the agreement,Nuo Capital will hold 30% stake,and appointed a new general manager to join the leadership team,With Romeo Sozzi and his three sons - Paolo (responsible for product)、Davide (responsible for projects) and Paolo (responsible for R&D and operations) jointly manage the brand。Promemoria said,Both parties share the same vision for the future development of the brand,This cooperation will not change the existing management and strategic planning。also,Brand confirmed for 2018 in Munich、Hamburger、Opening of single-brand stores in Hong Kong and Miami。

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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connect:Hong Kong Information Communications Consultant

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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