Hong Kong license number 9：License plate function、Application requirements and capital thresholds

obtainHong Kong Securities and Futures Commissionregistered9license plate，Can bring a more flexible revenue structure to the enterprise。Since overseas markets have relatively loose requirements for business performance,，if onlyprivate equity fundsWithdraw profits by outperforming the stock index，This gives licensed institutions an advantage in the return cycle。What's more important，Companies can use this to accumulate rich investment experience，Create a more mature operation team and working model，Integrate into the international competitive landscape in advance，Improve the overall market competitiveness of enterprises。To apply for a license, please consult Hong Kong Information Communication Co., Ltd.。

Hong Kong Securities and Futures Commission license types and applications

The Securities and Futures Commission of Hong Kong currently issues ten types of licenses，Each category corresponds to different regulated activities and their practical applications：

1. 1Number：Securities trading ——Provide customers with trading and brokerage services for stocks and stock options；Buy and sell bonds for clients；Buy/sell mutual funds and unit trust funds for clients；Engaged in securities placement and underwriting。
2. 2Number：Futures contract trading ——Provide customers with index or commodity futures buying and selling brokerage services；Buy/sell futures contracts for clients。
3. 3Number：Leveraged Forex Trading —— Carry out foreign exchange transactions for clients in the form of margin trading。
4. 4Number：Advise on securities ——Provide clients with investment advice on selling/buying securities；Issue research and analysis reports on relevant securities。
5. 5Number：Advising on futures contracts ——Provide clients with investment advice on selling/buying futures contracts；Issue research reports and analyzes on relevant futures contracts。
6. 6Number：Advise on institutional financing ——IPO sponsor as a listing applicant；Regarding "Company Acquisition"、Providing advice on the Mergers and Share Buy-backs Code；Provide advisory services to listed companies on compliance matters under the Listing Rules。
7. 7Number：Provide automated trading services ——An electronic trading platform that operates matching customer orders。
8. 8Number：Providing securities margin financing ——Provide financing to customers buying stocks，and use the client’s stocks as collateral。
9. 9Number：supplyasset Management ——Manage securities or futures contract investment portfolios for clients on a discretionary basis；Manage funds on a discretionary basis。
10. 10Number：Providing credit rating services —— Just the company、Preparing reports on the creditworthiness of bonds and sovereigns。

Among them, the No. 9 license (asset management) is particularly critical to the market expansion of private equity investment.，After obtaining the license，The channels and tools used by enterprises overseas will become more diverse。

Driving factors for domestic investment institutions to go overseas

More and more domestic investment institutions are preparing to go overseas，Mainly driven by four major factors：

1. Domestic asset allocation channels are limited，Difficult to meet diversified investment needs；
2. Structural changes in the domestic consumer market and the instability of the RMB exchange rate，Increased risk of domestic allocation；
3. Domestic requirements for financial supervision are becoming increasingly strict，Compliance costs and operating space have been significantly squeezed；
4. The overseas investment market is more standardized in terms of system、Mature，Provides a more stable environment for long-term capital operations。

Hong Kong license number 9Application requirements

For different applicants’ situations，capital thresholdThere are also differences。Comprehensive experience of Mr. Deng Sheng of Hong Kong Information Communication Co., Ltd. for eleven years，To apply for Hong Kong No. 9 license, you need to meet the following core conditions:：

• Must have a physical office address in Hong Kong；
• Must be equipped with a management team with practical operational experience，Responsible for daily operations；
• A business structure and internal control system that comply with regulatory requirements must be established；
• The required paid-up capital is not less than HKD 5 million。

All the above conditions are indispensable，The overall requirements revolve around operating entities、Talent allocation、The major dimensions of system compliance and capital adequacy are unfolded。

About Hong Kong Xintong

Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。