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Hong Kong No. 9 License Application:Conditional requirements and overseas layout practices

Regulation and application information related to Hong Kong No. 9 license application

in recent years,Private equity funds’ enthusiasm for expanding overseas markets continues to grow。Especially active in Hong Kong stocks、Against the backdrop of increasing customer demand for overseas asset allocation,More and more private equity institutions choose to obtainHong Kong license number 9:Core advantages、Licensing requirements and application process、Expand international business territory by issuing overseas funds and other methods。

For domestic securities and futures institutions、asset management company、For international trust institutions and private equity funds,To successHong Kong financial license application:Application conditions、Process and Supervision PointsApply for relevant financial licenses,It not only helps to fully participate in international capital market investment、Broaden the scope of investment targets、Enrich investor product choices,It is also conducive to seizing investment opportunities in overseas markets.,Improve asset management capabilities and market competitiveness,Promote enterprises to move towards an international asset management platform。

Hong Kong No. 9 license application conditions

ApplyHong Kong SFC No. 9 (asset Management),Usually the following basic conditions need to be met:

  1. The applicant must be a limited company incorporated in Hong Kong,Or inHong Kong company registrationNon-Hong Kong companies registered with。
  2. The registered capital requirement for Hong Kong companies is HKD 5 million.。
  3. The company must have a physical office address,And the office space should usually be a Grade A office building;If it is self-owned property,Real estate certificate required;If it is a rental property,A valid lease contract is required。
  4. Companies need to have the competence to comply with regulatory requirements,Includes clear business framework、Complete internal monitoring system,and a qualified responsible person RO。
  5. The company must have two licensees。

Advice on applying for Hong Kong No. 9 license

Hong Kong License No. 9 involves compliance access to asset management business,Regulatory agencies will focus on the business model of the applicant、Capital strength、Office arrangements、internal control、Personnel qualifications and ongoing compliance capabilities。Hong Kong Xintong can help companies sort out application requirements、Improve material architecture、Evaluate RO and licensed staffing,and advanceHong Kong Securities and Futures CommissionLicense application process,Improve application efficiency and compliance certainty。

香港9号牌照申请相关监管与申请信息
Hong Kong No. 9 License Application

If you need consultation or apply for Hong Kong No. 9 license,,It is recommended to carry out the main structure as early as possible、Personnel arrangement and compliance document preparation,In order to more safely promote the license application and subsequent overseas fund business layout。


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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