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Hong Kong license number 9:Application conditions and license transfer

Hong Kong license number 9:Application conditions and license transfer|Hong Kong Xintong Financial Compliance Services

As the private equity industry continues to heat up,More and more private equity institutions are beginning to enter the Hong Kong market,Seek overseas investors and achieve global asset allocation。Hong Kong No. 9 (Asset Management) License,It is one of the mainstream channels for domestic private equity to connect with overseas funds.。However,Hong Kong license number 9:Core advantages、Licensing requirements and application processIt is not easy to apply for。Securities Regulatory CommissionThe listed review period is approximately 6 months,Plus preliminary data preparation and queuing time,There is great uncertainty in the actual cycle of new applications。therefore,Many organizations have begun to pay attention to the efficient path of directly transferring existing licenses.。

香港9号牌照:申请条件与牌照转让配图1
Hong Kong license number 9:Application conditions and license transfer:Relevant supervision and handling points

What is Hong Kong License No. 9

Hong Kong SFC No. 9 (asset Management),Issued by the Hong Kong Securities and Futures Commission (SFC),allowHong Kong Asset Management License No. 9:Application conditions、Main advantages and how to obtain themProvide stocks to domestic and foreign customers、fund、Bond and other investment portfolio management services。According to the provisions of the Securities and Futures Ordinance,Anyone who carries out regulated activities in Hong Kong,Must hold appropriate SFC license。

香港9号牌照转让条件
Conditions for transfer of Hong Kong No. 9 license

Hong Kong No. 9 license application conditions

Applicants must meet the following core conditions::

  1. Subject qualification:A limited company that must be incorporated in Hong Kong,or an overseas corporation registered with the Companies Registry。
  2. financial condition:Have good solvency and financial stability。The paid-up capital is not less than HKD 5 million,Liquid capitalNot less than HKD 3 million;If you do not hold client assets,The minimum liquid capital requirement is reduced to HKD 100,000。
  3. Responsible person:Have at least two responsible officers approved by the Securities and Futures Commission,Direct supervision of regulated activities。
  4. Business structure and internal control:Have a proper business structure、Sound internal control system,Relevant personnel must have corresponding qualifications and industry experience。
  5. Business premises:Must have an actual office in Hong Kong。

Hong Kong license transfer

The applicant company submits complete application documents to the China Securities Regulatory Commission,A license can be issued only after passing the review。For institutions that want to shorten the admission cycle,Transferring ready-made licenses is a pragmatic option。Hong Kong Xintong currently holds No. 1、4Number、9Licenses are transferable,Specific process、Fees and Compliance Arrangements,You can directly consult professional consultants to obtain detailed plans.。

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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Hong Kong and Chinese team · Senior financial compliance experts