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Hong Kong license number 9:How to get it、Application conditions、Personnel qualifications、Funding Requirements and Application Process

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Hong Kong license number 9由香港证券及期货事务监察委员会(Securities Regulatory Commission)发出是于香港提供资产管理服务的必备资质香港作为内地资金进行对外投资的重要桥梁吸引众多企业希望持有该牌照市场热度持续上升,According to authoritative statistics,As of the end of 2016,Hold Hong Kong9number plateThe number of institutions has reached 1,300,The number of licensed individuals reached 6,366。

获取香港9号牌照主要有两种途径一是新注册公司直接向证监会申请二是直接收购一家已持有牌照的公司牌照申请具备一定门槛这也直接决定了其高含金量

申请条件与人员资质

According to the regulations of the Securities and Futures Commission of Hong Kong,申请企业必须于香港注册成立公司或登记为非香港公司公司的业务架构及内部监控系统须符合证监会的要求并须配备两名或以上Responsible person负责人员须通过能力测试同时满足以下资质

  • Educational qualifications:Prefer business administration、Accounting、Broker、Degree in finance or law。
  • Industry experience近6年内具备至少3年相关行业经验且拥有2年以上管理技巧及经验并通过监管认可考试

Funding requirements

牌照申请需满足严格的资金门槛企业实缴资金不得少于50010,000 Hong Kong dollars并须维持足够的流动资金具体数额视业务类别而定通常介于10万至300万港元之间

申请流程与证监会审批要点

申请机构在条件齐备后可依规定流程向证监会递交申请证监会重点考量范畴包括公司的财政状况及偿付能力人员的学历或其他资质与经验、Reputation、character、可靠性及财务方面的稳健性实际审核中审批标准以证监会最终要求为准办理过程中可能出现额外要求

at present,市场上有现成的1Number、4No. and No. 9 license platesavailable for transfer。如欲了解香港9号牌照或保险经纪、MSO、放债人等其他香港牌照的详细办理事宜欢迎联系港信通获取免费咨询


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Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong 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

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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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