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Hong Kong license number 9:Application conditions、Responsible personnel requirements and procedures

Hong Kong license number 9:Application conditions、Responsible personnel requirements and procedures|Hong Kong Xintong Financial Compliance Services

Hong Kong license number 9:Core advantages、Licensing requirements and application processRight nowHong Kong financial license application:Application conditions、Process and Supervision PointsType 9 regulated business license issued under the Securities and Futures Ordinance,Belongs to asset management license。in recent years,Mainland private equityMarket stirs up managementHong Kong SFC No. 9 (asset Management)craze。After obtaining the license,Mainland private equity institutions can raise funds in the Hong Kong market,Attract overseas assets to invest in mainland products,It can also provide overseas investment channels for mainland customers.。For mainland private equity firms,This will help expand domestic and overseas markets,Get more development opportunities。

Hong Kong license No. 9 is more difficult to apply for,Hong Kong Securities and Futures Commission对申请机构的财务状况、Personnel qualifications、There are strict requirements for credibility, etc.。The following are the core conditions and procedures for applying for this license。

香港9号牌照:申请条件、负责人员要求与办理流程配图1
Hong Kong license number 9:Application conditions、Responsible personnel requirements and procedures:Relevant supervision and handling points

Application subject requirements

The applicant must be a Hong Kong registered company,Or a non-Hong Kong company that has been registered with the Hong Kong Companies Registry。The minimum registered capital requirement is HKD 5 million,Liquidity capital shall not be less than HKD 3 million。

香港9号牌照:申请条件、负责人员要求与办理流程配图2
Hong Kong license number 9:Application conditions、Responsible personnel requirements and procedures:Relevant supervision and handling points

Responsible personnel requirements

Responsible personnel must possess academic certificates in specific majors,And have industry experience and management experience recognized by the Hong Kong Securities Regulatory Commission。At least two responsible officers must be appointed,At least one of them shall be a member of the Board of Directors,and at least one is based in Hong Kong,To directly supervise related business。also,Applicant institutions must establish strict risk control mechanisms、Complete business structure and internal monitoring system,to meet compliance standards。

Hong Kong No. 9 license application process

The Securities and Futures Commission of Hong Kong adopts stringent standards to assess whether applicant institutions are qualified for licensing,The main review highlights include:Financial condition and solvency、Personnel qualifications and industry experience、Institutional reliability and financial soundness, etc.。After all conditions are met,,Organizations can formally submit applications。After obtaining the No. 9 license,Licensed institutions must strictly comply with the Securities and Futures Ordinance,and regularly submit audited accounts and financial statements,Continuously maintain compliance operations。

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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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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