Hong Kong license number 9
Advantages
|The application for a Shenzhen fund sales license has been，The number of financial licenses held by an enterprise is already equated with its strength.。With the development of Internet finance in recent years，A number of powerful companies have also emerged in the industry，In the face of the trend of mixed business operations，Their "ambition" for financial licenses has also become increasingly intense as their strength grows.。
The financial licenses that require approval in our country mainly include banks、Insurance、trust、Brokerage firm、financial leasing、futures、fund、Fund subsidiaries、Fund sales、Third-party payment license、small loan、12 types of pawns。Among the many financial licenses，What are the conditions for applying for a fund sales license in Shenzhen? Who specifically carried out the review and approval?
A summary of relevant materials for applying for a Shenzhen fund sales license：Approval authority Commercial banks (including foreign-funded corporate banks in China，Same below)、Securities company、Futures Company、保险机构、Securities investment consulting agency、Independent fund sales agencies and other institutions recognized by the China Securities Regulatory Commission are engaged in fund sales business，You should register with the China Securities Regulatory Commission dispatched office in the place of industrial and commercial registration and obtain the corresponding qualifications. Legal basis: "Measures for the Administration of Sales of Securities Investment Funds"
Application conditions
商业银行、Securities company、Futures Company、保险机构、Securities investment consulting agency、Independent fund sales agencies and other institutions recognized by the China Securities Regulatory Commission apply for registration of fund sales business qualifications，The following conditions should be met：
- Have a sound governance structure、Complete internal control and risk management system，and be effectively implemented；
- Financial condition is good，Standard and stable operation；
- Have business premises suitable for fund sales business、Security precautions and other facilities；
- There is safety、Efficiently handle fund offerings、Technical facilities for subscription and redemption operations，And it complies with the relevant regulations of the China Securities Regulatory Commission on the fund sales business information management platform.
Require
，The technical system of the fund sales business has been integrated with the fund manager、The corresponding technical systems of China Securities Depository and Clearing Corporation have been tested online.，The test results comply with national standards；(5) Establishing a complete fund settlement process，Fund management complies with the China Securities Regulatory Commission’s regulations on fund sales and settlement fund management.
Require
；
- There is a method system for evaluating the risk tolerance of fund investors and the risk level of fund products.；
- Developed a sound business process、Sales Personnel Professional Conduct、Emergency response measures and other fund sales business management systems，Comply with the relevant requirements of China Securities Regulatory Commission on the internal control of fund sales institutions.
Require
；(8) Compliance with laws and regulations
Require
anti-money laundering internal control system；(9) Other conditions stipulated by the China Securities Regulatory Commission。
Registered capital
Require
Registered capital or capital contribution shall not be less than RMB 20 million，and must be paid-in monetary capital。certainly，In the context of relatively tight resources in mainland China,，You can also consider applying for Hong Kong’s No. 9 license.，What kind of business can be operated with Hong Kong License No. 9? License No. 9：Provide asset management and manage securities or futures contract investment portfolios for clients on a discretionary basis. Manage funds on a discretionary basis. What are the benefits of holding No. 9 license plate?
Advantages
？
9The license is a Type 9 regulated business qualification license issued by the Securities and Futures Ordinance of Hong Kong.,i.e. asset management license。Hold this license,It means obtaining a "pass" in the international capital market,Not only can you directly participate in overseas investments,,It can also manage and utilize funds from overseas investors。dealing cards
Require
What are the main factors to consider?
Mainly consider the company's financial status and solvency、Qualifications and experience of company personnel，and whether the company has the ability to conduct regulated activities。
Require
The company must demonstrate that it has an appropriate business structure、Good internal control systems and qualified personnel，To ensure proper risk management and compliance with relevant rules and regulations。What are the personnel
Require
? 2 persons：Responsible officers and licensed representatives。
Responsible person：
Require
Hold a university degree in a specified field (e.g. accounting、Business Administration、economy、Finance and Law) or other degree (and pass the subject examination in at least two specified areas)；Professional qualifications (e.g. Chartered Financial Analyst、Certified financial planner, etc.) with at least 3 years of engagement in related industries (recommended for public fund companies) in the past 6 years and more than 2 years of management experience. Qualified licensed representative of Hong Kong Securities and Futures Practitioners Qualification Examination Papers 1 and 6：
Require
Passed the Chinese/English + Mathematics examination in Hong Kong or equivalent (high school public examination such as university entrance examination). At least 5 years of relevant industry experience in the past 8 years (some private equity companies are enough). 2 years of management experience. Overall, passed the Hong Kong Securities and Futures Practitioners Qualification Examination.，9The gold content of number plates is very high。
For companies that want to expand into overseas financial markets，9Number plate is undoubtedly the first choice。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
