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Hong Kong No. 1, No. 4, No. 9 license transfer—Hong Kong Asset Management License

Financial card care question

China Post Venture International Asset Management was established in Hong Kong with approval from the China Securities Regulatory Commission in September last year.,Last month, the China Securities Regulatory Commission issued the "No. 9 License"。It is understood,The parent company of China Post Venture International Asset Management is China Post Venture Fund Management Co., Ltd.,The latter’s starring shareholders include China Post Group、Beijing Capital Securities and Sumitomo Mitsui Banking Corporation。

Hong Kong No. 1, No. 4, No. 9 license transfer,Where can I find it ready-made??transfer period and

cost

How much is it??【】March 14th,The China Securities Regulatory Commission approved the establishment of Shengang Securities Co., Ltd.(Hereinafter referred to as "Shengang Securities"),This is based on the August 2013 agreement between the Mainland and Hong Kong、The Closer Economic Partnership Arrangement signed by Macao(CEPA)A bi-regional joint venture multi-licensed securities company established in Supplementary Agreement 10。

China Securities Regulatory Commission spokesperson Deng Ge introduced,According to CEPA Supplement 10,Allow mainland securities companies to further open up to Hong Kong and Macao:One is,Allow qualified Hong Kong investment、Australian financial institutions are located in Shanghai、Guangdong、Shenzhen will each establish a fully licensed securities company jointly owned by the two places.,Hong Kong capital、Australian capital’s shareholding ratio can reach as high as 51%,Mainland shareholders are not limited to securities companies;The second is,Allow qualified Hong Kong investment、Australian-funded financial institutions are in several reform pilot zones approved by the mainland to pilot financial reforms.,Each newly established two joint venture fully licensed securities companies,Mainland shareholders are not limited to securities companies,Hong Kong capital、The shareholding ratio of Australian capital shall not exceed 49%,And remove the restriction that a single mainland shareholder must hold 49% of the shares.。

2015August 21,The China Securities Regulatory Commission starts the approval process。Deng Ge pointed out,In accordance with the provisions of the "Interim Provisions on the Approval of Business Scope of Securities Companies",The business scope of Shengang Securities is securities brokerage、Securities underwriting and sponsorship、Securities self-operation、Securities asset management and other 4 items,After one year of continuous compliance operation,You can apply for other securities business licenses in accordance with regulations,Become a fully licensed securities company。


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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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