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

Hong Kong No. 9 plate:Application requirements、Fees and transfer conditions|Hong Kong Xintong Financial Compliance Services

Hong Kong license number 9:Core advantages、Licensing requirements and application processIt is a necessary qualification for asset management companies to carry out regulated activities in Hong Kong.。Due to the strict application process、Prepare a lot of documents,Many companies choose to entrust professional agencies to assist in handling。With its rich project experience and solid local resources, Gangxintong,Able to accurately controlHong Kong No. 9 plate applicationEach key node,Provide full-process support for enterprises。

香港9号牌:申请要求、费用与转让条件配图1
Hong Kong No. 9 plate:Application requirements、Fees and transfer conditions:Relevant supervision and handling points

Hong Kong No. 9 plate application requirements

ApplyHong Kong SFC No. 9 (asset Management)Must meet the requirements of corporate entities at the same time、Three aspects of internal control system and personnel qualifications:

  1. A company has been registered in Hong Kong,or a non-Hong Kong company registered with the Hong Kong Companies Registry。
  2. The company has an appropriate business structure、Sound internal control system and qualified personnel,Adequate to identify and manage risks that may be involved in the business。
  3. For each type of regulated activity applied for,At least two persons must be appointedHong Kong No. 9 License Application:Responsible personnel requirements、Shareholder qualifications and financial resources conditions,to directly supervise the conduct of such activities。
  4. for each type of regulated activity,At least one responsible person must be available to supervise the operation of the relevant business at all times。
  5. Among the responsible personnel to be appointed by the organization,At least one must beSecurities Regulatory CommissionAccredited Executive Director。
  6. All executive directors of the institution must apply to the Securities and Futures Commission for approval,to serve as responsible officer。
香港9号牌:申请要求、费用与转让条件配图2
Hong Kong No. 9 plate:Application requirements、Fees and transfer conditions:Relevant supervision and handling points

License transfer fees and precautions

The specific cost of purchasing a Hong Kong No. 9 license plate in the market varies significantly depending on the status of the transfer entity.。The actual cost is mainly determined by the value of the license itself、Assets and liabilities of the main company、Compliance History and Other Decisions。also,Licensed companies to be transferred must all meet the ongoing compliance requirements of the China Securities Regulatory Commission,The transferee also needs to be approved by the responsible officer of the China Securities Regulatory Commission,to complete the delivery。

To get a real-time quote or a one-on-one compliance assessment,You can contact us directly。


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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