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Hong Kong No. 1、4Number、9license plate:Application conditions、Processing channels and license transfer

Hong Kong Type 9 License Transfer Guide

Hong Kong No. 1、4Number、Hong Kong license number 9:Core advantages、Licensing requirements and application processas separate regulated licenses,Corresponding to securities transactions respectively、Providing advice on securities and asset management, etc.。Enterprises can apply separately according to actual business development needs,You can also apply for 1 at the same time、4、Hong Kong No. 9 License Application:Advantages、Qualification requirements and process analysis。The Hong Kong stock market has been active in recent years,Strong demand for overseas asset allocation,Asset management licenses are particularly valued。according toHong Kong No. 9 financial license:Application conditions、Process and cost factorspublished data,2016A total of 165 No. 9 cards were issued throughout the year,The most since 2006;Until the end of February 2017,17 institutions have newly obtained the No. 9 license,Reflecting the market’s strong focus on licensing compliance。

Hong Kong 1、4、9License application conditions

Apply for such licenses,Securities Regulatory Commission将对企业的注册资本、office space、Staffing、Hong Kong No. 9 License Application:Responsible personnel requirements、Shareholder qualifications and financial resources conditionsSubstantial review of resumes and business plans, etc.,The threshold is higher。The overall application cycle is generally about 6 months,Long preparation time。In order to shorten the process, many companies、Avoid repeated patching,Prefer to entrust experienced third-party agencies to handle matters,to ensure that conditions are met、Document compliance。

Processing channels

  1. Register a company in Hong Kong,Submit your application directly to the Securities and Futures Commission,Submit registration documents as required、Proof of site、Qualified personnel information and detailed business plans, etc.。
  2. Directly acquire a successfully licensed Hong Kong company,Indirectly obtain relevant license qualifications in the form of company equity transfer。
香港1号、4号、9号牌照申请与转让相关监管与申请信息
Hong Kong No. 1、4Number、9License application and transfer

License transfer and professional support

Whether through a new registration application or an existing company acquisition,You can use professional consultants to lower the operating threshold。Hong Kong Xintong has been deeply involved in the Hong Kong financial market for a long time,Can provide an office address for the applicant company、Recommendations from licensed personnel and other key conditions support,Hold No. 1 at the same time、4No. 9 and No. 9 license companies transfer resources,Assist customers to flexibly match the pace of development。If there is a need for license application or transfer,Please contact Hong Kong Information Communications Consultants for specific evaluation。

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。

Hong Kong Xintong focuses on Hong Kong Securities and Futures Commission licenses、Hong Kong Insurance Broker License、Hong Kong MSO license and money lender license application services,Assist customers to apply for a US 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 provides Cayman 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 contact Hong Kong Information Communications Consultants。

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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