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Hong Kong No. 9 plate:Application requirements、Fees and transfer conditions

Financial card care question

Hong Kong No. 9 plate是资产管理公司在港开展受规管活动的必要资质由于申请流程严格准备文件繁多许多企业选择委托专业机构协助办理港信通国际凭借丰富的项目经验和扎实的本地资源能够精准把控Hong Kong No. 9 plate application各关键节点为企业提供全流程支持

香港9号牌申请要求

申请香港9号牌须同时满足企业主体内控体系与人员资格三方面条件

  1. 已在香港注册成立公司,or a non-Hong Kong company registered with the Hong Kong Companies Registry。
  2. 公司具备适当的业务架构健全的内部监控系统及合格人员足以识别和管理业务可能涉及的风险
  3. 就所申请的每类受规管活动须委任最少两名Responsible person以直接监督该等活动的进行
  4. for each type of regulated activity,至少需有一名负责人员可随时监督相关业务的运作
  5. 机构拟委任的负责人员中至少须有一名是Securities Regulatory Commission认可的执行董事
  6. 机构所有执行董事均须向证监会申请核准以出任负责人员

License transfer fee与注意事项

市场上购买一个香港9号牌的具体费用因转让主体状况而差异显著实际成本主要由牌照本身价值主体公司资产与负债状况合规历史等决定。also,拟转让的持牌公司必须全部满足证监会的持续合规要求受让方也需通过证监会的负责人员审批才能完成交割

如需获取实时报价或一对一的合规评估可直接与我们联系


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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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