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Hong Kong License No. 149,What functions and functions does it have?,Qualifications required to apply for a license

Financial card care question

What is Hong Kong License No. 149?,What functions and functions does it have?,To the best of our knowledge, the qualifications required to apply for a license are,The Hong Kong market implements a financial license management system。There are 1-10 types of financial licenses。Among them, License No. 9 is a Type 9 regulated business qualification license issued by the Securities and Futures Ordinance of Hong Kong.,i.e. asset management license。

After obtaining the license for mainland private equity,On the one hand, you can raise funds directly in the Hong Kong market,Attract overseas capital to invest in mainland products;On the other hand, it is also convenient to build international products.,Provide overseas investment channels for mainland customers。

The reason why many mainland private equity companies applied for Hong Kong No. 9 Financial Photo this year,The most direct reason is the stimulation from the opening of Shenzhen-Hong Kong Stock Connect.,Secondly, many private equity investors judge that the mainland capital market needs to be internationalized.,The Hong Kong market is essential as a medium and buffer,So everyone wants to find a foothold in the Hong Kong market.,do business。"At the beginning of this year,We have the idea of ​​applying for Hong Kong’s No. 9 financial license,But I don’t have such a strong will to say that I must get it.。

We will see a lot of private placements in the second half of the year,Some even have half the management scale of ours.,All applications were successful,Therefore, several partners in the company cannot sit still.。"The vice president of a large private equity firm in Shenzhen told reporters。

Hong Kong license number 9

Application conditions

:Details of No. 149 license application

Require

  1. Must be a limited company incorporated in Hong Kong or a non-Hong Kong company registered with the Registrar;
  2. Registered capital of Hong Kong company

Require

  1. The company must have an actual office address (must be a Grade A office building,If you own property, you need to provide a real estate certificate,If the property is leased, a valid lease contract must be provided);
  2. Competence:business framework、Internal control system and qualified responsible personnel RO;
  3. The company must have two licensees。

This year, private equity funds’ enthusiasm for overseas deployment continues unabated.,Especially when Hong Kong stocks soared、Against the background of strong demand for overseas asset allocation from customers,This trend continues to be popular,More and more private equity institutions are obtaining Hong Kong license No. 9、Issuing overseas funds and other forms to set sail overseas。

What is Hong Kong License No. 149?,What functions and functions does it have?,Qualifications required to apply for a license,Details of No. 149 license application

Require

Functions of Hong Kong License No. 9:After being issued the Hong Kong Asset Management (No. 9) license,Companies will be eligible to offer shares to domestic and foreign institutions、fund、Bond and other investment portfolio management services。

Leveraging the Hong Kong Asset Management Platform,This company can not only develop more overseas real estate or stock funds and other products,We can also launch value-added services such as investment immigration and investment,Provide more diversified services to high net worth clients。Our company is a domestic company providing Internet financial services to Shenzhen Qianhai Special Zone.、Financial leasing and commercial factoring registration and operation overall solution service provider。

We have successfully handled small loan companies、Internet small loan company、Pawn shop operating license、Financing guarantee company、insurance agency、Fund sales license、Financial leasing companies, etc.。What is Hong Kong License No. 149?,What functions and functions does it have?,Qualifications required to apply for a license,Details of No. 149 license application

Require


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Lin Zixuan

Owned by Mr. Lin Zixuan 15 year securities、Asset management and investment banking experience,Served as senior compliance officer in several licensed financial institutions。He is well versed in the Hong Kong Securities and Futures Commission (SFC) regulatory requirements,Successfully dominated the SFC 1st 1、4、9 Application and annual maintenance of licenses (including RO licenses for legal persons and individuals)。He is particularly skilled in developing and enforcing financial resource rules (FRR)、internal control system,as well as ensuring that the company is fully compliant with the SFC’s requirements in terms of customer vetting (KYC) and anti-money laundering (AML/CFT),To meet strict regulatory compliance standards。

Areas of expertise:SFC license (Type 1, 4, 9) Application and maintenance、RO/MIC Approval、internal control system、Client Asset Rules (FRR)、KYC/Anti-Money Laundering Policy

Previous institutions:international investment bank、Licensed securities trading company、asset management company

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