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Hong Kong No. 9 plate processing:Company structure conditions、Personnel qualification standards and financial requirements

Hong Kong No. 9 plate processing:Company structure conditions、Personnel qualification standards and financial requirements | Hong Kong Xintong Financial Compliance Services

Hong Kong license number 9:Core advantages、Licensing requirements and application processIt is an indispensable core pass for entering the international financial market.。Hold this license,Enterprises can participate in overseas high-allocation asset investments,and flexibly manage foreign investors’ funds。Successfully issued license,Mainly depends on the applicant institution’sfinancial condition、Overall performance in terms of personnel qualifications and compliance capabilities。

香港9号牌办理:公司架构条件、人员资质标准与财务要求配图1
Hong Kong No. 9 plate processing:Company structure conditions、Personnel qualification standards and financial requirements:Relevant supervision and handling points

Company structure and internal control conditions

The applicant organization must have a suitable business structure、Complete internal monitoring system,and staffed with qualified practitioners。Enterprises should have established an effective risk management mechanism,Ensure full compliance with relevant Hong Kong laws and regulatory rules。Key points of licensing review include:

  • financial condition:The minimum paid-up capital is not less than HK$5 million,Liquidity must be higher than HK$3 million;
  • Solvency;
  • Personnel qualifications and industry experience;
  • The company itself has substantial capabilities to carry out regulated activities。
香港9号牌办理:公司架构条件、人员资质标准与财务要求配图2
Hong Kong No. 9 plate processing:Company structure conditions、Personnel qualification standards and financial requirements:Relevant supervision and handling points

Personnel qualification requirements

Responsible personnel conditions

Hong Kong No. 9 License Practice:RO configuration、Capital requirements and processing pathsMust meet the following standards:

  • Hold a university degree in a specified subject,including accounting、Business Administration、economy、Finance or legal etc.;
  • Have no less than 3 years of relevant industry experience,And more than 2 years of management experience;
  • Must pass Hong Kong Securities and Futures Practitioners Qualification Examination Paper 1 and Paper 6。

Conditions for licensed representatives

Licensed representatives must meet the following criteria:

  • Passed the Chinese and English subjects of the Hong Kong Certificate of Education Examination,Passed Mathematics,or hold an equivalent qualification (equivalent to university entrance examination level);
  • Have no less than 5 years of relevant industry experience,And more than 2 years of management experience;
  • Must pass Hong Kong Securities and Futures Practitioners Qualification Examination Paper 1。

In order to improve processing efficiency and ensure that the corporate structures of the two places are consistent,,Many domestic financial institutions give priority to entrusting professional institutions to handle them.Hong Kong SFC No. 9 (asset Management)Apply。Hong Kong Xintong has been owned for 11 yearsHong Kong financial licenseHandling experience,Proficient in local legal provisions and approval processes,Can provide ready-made Hong Kong financial license transfer plan (20% lower than market price),And it is the only commission-free processing agency in China.。Services cover full hosting and one-stop support,Have a resource network that can quickly connect with relevant regulatory authorities in Hong Kong。So far, we have assisted more than 500 organizations to successfully obtain licenses.,Clients include well-known domestic and foreign securities companies and investment institutions with strong capital strength。If you need to apply for Hong Kong No. 9 plate,Welcome to contact Manager Peng for exclusive services。

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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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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