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Hong Kong license number 9:Process、Application requirements and case analysis

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Continuing the market popularity from the previous year,This year, there are still a large number of mainland and Hong Kong companies acquiring new products through new applications or acquisitions.Hong Kong license number 9。The core purpose of the enterprise's layout of Hong Kong No. 9 license is very clear:Leverage Hong Kong’s mature international financial platform,Arrange overseas investment opportunities for clients,Improve global asset structure。

Hong Kong License No. 9 is essentially an asset management license,Similar to the private equity fund license often mentioned in the mainland market,Can be used to carry out asset management business,And support related arrangements such as the issuance of private equity funds or public equity funds。For those who want to expand cross-border asset management、For companies engaged in overseas investment allocation and international fund business,Hong Kong License No. 9 has important strategic value。

Hong Kong No. 9 license application process and case interpretation

The application of Hong Kong No. 9 license usually involves the design of the main structure、Staffing、business planning、Compliance system establishment、Preparation of application materials and submission of applications to the Hong Kong Securities and Futures Commission (SFC), etc.。For companies with different backgrounds,Application path、Timings and compliance priorities will vary;Some companies will also choose to quickly obtain relevant license resources by acquiring licensed companies.。

Case 1:Zhongcheng Bank Trust was awardedHong Kong 4、9license plate

One of the important backgrounds for Zhongcheng Yinxin to apply for the Hong Kong No. 9 license,It is the “Belt and Road” national strategy that drives companies to accelerate their overseas deployment。Enterprises take advantage of the development opportunities of “One Belt and One Road”,invest overseas、Gain more space in terms of tax support and related policy support。

In this macro context,Whether business or individual,The demand for diversified overseas asset allocation is rapidly increasing。As a mainland holding group,After Zhongcheng Yinxin completed the Hong Kong No. 9 license application,Can allocate international high-tech assets more effectively、tourism assets、Agricultural assets and other types of overseas assets,This is highly consistent with its overall development direction。

In addition to its own overseas asset allocation needs,China Bank Bank acquires Hong Kong 4、9license plate,We are also laying out our customer service capabilities in advance for the next five to ten years.。By obtaining relevant licenses,The company is able to formulate more diversified plans for its customers、Customized asset allocation plan,Further opening up barriers to domestic and overseas assets,Broaden overall market integration capabilities。

Case 2:Zhuoxin International acquires full Hong Kong financial license 1、4、9Similar brand

Zhuoxin InternationalFor Hong Kong listed companies。In May this year,Zhuoxin International completes a major merger and acquisition,Directly acquired two companies for HK$30 million,and get it synchronouslyHong Kong 1、4、9license plateresource。The two companies are an asset management company and a securities company.。

What needs special reminder is that,If the enterprise plans to apply for a new Hong Kong license No. 9,The name of a subsidiary established in Hong Kong contains words such as "asset management",It is usually more conducive to license application positioning and business description.。

Zhuoxin International acquires Hong Kong1 through acquisition、4、9after number plate,Get the opportunity to carry out securities trading at the same time、The basis of business scope such as securities investment consulting and securities brokerage。Hong Kong’s financial licensing system is like a lever for companies to leverage international assets,Can help investors participate in global markets more efficiently,and connect with more valuable international assets。

Hong Kong license number 9Application requirements

The application conditions for Hong Kong No. 9 license are mainly reflected in two aspects: personnel requirements and company requirements.。last two years,The number of organizations applying for Hong Kong Type 9 license continues to increase,Especially mainland asset management companies,Hope to allocate overseas assets through Hong Kong No. 9 license,Therefore, the overall approval process shows a trend of becoming more and more stringent.。

Personnel requirements

Applying for Hong Kong No. 9 license requires responsible personnel and relevant licensed personnel who meet the requirements of the Hong Kong Securities Regulatory Commission.。For those who do not yet have a responsible person、Individual licensed personnel or businesses unclear about staffing standards,Job responsibilities should be completed before applying、Experience background、System planning of business matching and compliance competencies。

Company requirements

Hong Kong License No. 9 is a financial license required by formal corporations in Hong Kong to carry out regulated activities related to asset management.。Applicants need to have a clear corporate structure、clear business model、Perfect internal control system,and compliant operating arrangements that can protect investors’ asset rights and interests.。

Hong Kong license number 9Application process

The application for Hong Kong No. 9 license mainly involves submitting the corresponding application materials to the Hong Kong Securities and Futures Commission (SFC),The SFC will strictly review the qualifications of the applicants.。Only the applicant、Responsible person、business plan、When the compliance system and investor protection arrangements meet the requirements,SFC will approve and issue Hong Kong No. 9 license。

Hong Kong Xintong serves as a service provider for financial licenses in China and Hong Kong.,Ten years of senior management experience,Has assisted more than 500 companies to obtain Hong Kong financial licenses。Regardless of whether the company chooses a new application or a direct acquisition,We can provide competitive solutions based on project conditions.,The quotation can be as low as 20% off the price of competitors。

In the long-term process of docking with the Hong Kong Securities Regulatory Commission and relevant institutions,We have accumulated a large amount of practical management resources。For no responsible person、Lack of individual licensed personnel、Not sure how to register a Hong Kong company,Or customers who are not sure what type of Hong Kong company should be registered?,We can customize a complete set of license processing solutions according to the actual situation of the enterprise。

Currently we have ready-made Hong Kong 1、4、9Number plate resources are available for direct transfer。If you need to know more about the application requirements for Hong Kong No. 9 license、Application process、Acquisition arrangements and license details,It is recommended to contact us directly for detailed communication。


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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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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