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Peng Yi:New application for Hong Kong No. 9 plate,Hong Kong No. 9 Share Transfer

Financial card care question

“Prestige Asset Management LimitedShengde Asset Management Limited(Hereinafter referred to as "Sidley Asset Management")was issued by the Securities and Futures Commission of Hong Kong on November 15 4 No. and 9 license plate,The license plate number is BHS708。Sidley becomes a fully licensed financial holding group。

Prestige Financial Holdings GroupSidley Financial Holdings Group(Hereinafter referred to as "Sidley Financial Holdings")2005Founded in Hong Kong and Beijing,Its members include Sidley Securities(Hold the Hong Kong Securities and Futures Commission 1 No. and 4 license plate)、Sidley Asset Management(Hold the Hong Kong Securities and Futures Commission 4 No. and 9 license plate)、Sidley Insurance、Sidley Investments、Sidley Capital、Many financial companies。

Among them, the main business scope of Sidley Asset Management includes US dollar FOF fund of funds featuring quantitative investment.、fixed income、Overseas real estate funds、Private equity funds, etc.。The threshold for applying for an asset management license in Hong Kong is very high。

If a corporation applies for an asset management license from the Securities and Futures Commission of Hong Kong(Proceed to No. 4 and 9 regulated activities)The following needs to be met first

Require

:Responsible person:Requires more than two qualified responsible officers to oversee regulated activities(asset Management)。

Responsible personnel are required to have at least 3 Years of experience as a licensed asset management company,You must also pass Hong Kong’s “Responsible Officer Qualification Examination”;company organization:In company organizational structure、internal control、Business processes and internal employee training must meet the strict requirements of the China Securities Regulatory Commission.

Require

;executive Director: 2 One of the responsible persons must become an executive director of the company,To ensure that responsible officers have sufficient authority to supervise the company’s daily operations and regulated activities;Application cycle:The Hong Kong Securities and Futures Commission currently takes an average of half a year or even more than one year to review and approve license applications.。

Hong Kong Securities and Futures Commission Asset Management(No. 9 regulated activities)Regulated activities permitted by licensed intermediaries:First、Can manage funds or other collective investment schemes on a discretionary basis;second、Fund products can be issued;third、If you have both RQFII license and quota,A-share exchange-traded funds that can issue RQFIIs;fourth、Can manage discretionary accounts,Manage securities or futures contract-style investment portfolios for clients on a discretionary basis;fifth、Can invest in private equity funds for clients,And buy shares of unlisted companies Sixth、Can invest in projects in frontier areas such as Qianhai Private Equity。

Sidley Asset Management has recently launched the "Sidley Quantitative Select Issue 1" FOF fund,A medium-risk/high-return fund,The return of its investment portfolio over the past year(As of August 2016)for

  1. 4%,The three-year average return is
  2. 8%(Various underlying funds have been deducted

cost

)。The average Sharpe ratio over the past three years was 1.57。 The investment target of the fund is the world's leading quantitative fund-Renaissance Technology。

Based on the principles of systematic investment and strict risk control,Renaissance uses unique mathematical models to remove short-term fluctuations and market noise, More accurately predict the prices of various financial products、Long-term trends in macroeconomic and market indicators。The fund is rarely open to overseas, especially Asian investors。Sidley will successively issue many of the world’s top financial products,Help mid- to high-net-worth investors reasonably diversify risks,Achieve stable and long-lasting high returns,Achieve effective overseas asset allocation。


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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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