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Hong Kong No. 9 License Transfer:Requirements from the person in charge、Application documents and approval process

Financial card care question

Hong Kong financial marketAsset management licenseregulations are becoming increasingly strict,Hong Kong license number 9The application process is quite cumbersome,The materials involved are also more complex。For companies that lack relevant experience or time,directacquisitionExisting licenses are a route worth considering。

Hong Kong license number 9Divided into two types,Commonly referred to in the industry as the big "9" and the small "9":The former is similar to a publicly raised fund license,The latter is similar to a private equity fund license。Both types of licenses are availabletransferchange,And the threshold for entry through acquisition is relatively low。at present,Securities Regulatory CommissionA total of 1,300 Hong Kong No. 9 licenses have been issued,There are more than 6,000 Type 9 license holders who meet the requirements of RO and representative personnel.。

Hong Kong No. 9License transferRequire

When transferring Hong Kong No. 9 license,More than two people must be providedperson in chargeRelevant experience and qualification certificates,This is the most critical one of the transfer conditions。also,In the process of making changes,Relevant transfer documents drafted by a law firm will also need to be submitted,and reportHong Kong Securities and Futures Commission(SFC) for approval。The approval cycle is relatively long,Usually takes several months。

Careful selectionagency,Looking for regularity、Reliable service providers are crucial。Formality of the commissioning agency,It is directly related to whether it can be completed effectively with less worry and effort.Hong Kong Asset Management LicenseTransfer and successfully obtain qualifications。

About Hong Kong Xintong

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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Hong Kong and Chinese team · Senior financial compliance experts